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United States
Posted On Sep 07, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements fund formation Government regulatory compliance Regulatory Law special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements fund formation Government regulatory compliance Regulatory Law special projects Visa

Title: Legal Counsel - Investment Company Act of 1940 Job... matters related to the Investment Company Act of 1940. -... Advise on fund formation, governance, regulatory compliance, and strategic initiatives. - Partner with business leaders to shape new and existing products and collaborate...

Posted On Sep 16, 26
Full-time 1 views Experience : 10-15 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa

Title: Associate General Counsel, Fund Governance Job Responsibilities: - Serve as a strategic legal advisor on corporate governance matters, providing practical advice to trustees, directors, senior executives, and other stakeholders regarding applicable legal requirements, fiduciary obligations, governance practices, and board processes. - Hire,...

Posted On Aug 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title

Brokerage Platform at the company plays a crucial role... brokerage and wealth platform that serves over nine million clients. The position requires the attorney to function as a strategic legal partner, sitting at the intersection of trading, investment product innovation,...

Posted On Aug 10, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Data Privacy - Transactional Corporate - Technology Transactions Corporate - Compliance Corporate - General
Job Tags:
artificial intelligence asset management contracts Data Protection emerging technologies Ethics investment management IP rights Machine Learning regulatory compliance Visa
Practice Area:
Data Privacy - Transactional Corporate - Technology Transactions Corporate - Compliance Corporate - General
Job Tags:
artificial intelligence asset management contracts Data Protection emerging technologies Ethics investment management IP rights Machine Learning regulatory compliance Visa

intelligence (AI) within the company. This role requires a... deep legal expertise and a comprehensive understanding of emerging technologies and business objectives to manage legal risk while promoting responsible AI adoption across various functions such as investment, operations, and clie...

Posted On Sep 17, 26
Full-time 6 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
agreements contracts ERISA fiduciary Regulatory Law special projects Visa
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
agreements contracts ERISA fiduciary Regulatory Law special projects Visa

development. - Set performance standards, review performance, and make informed compensation decisions in accordance with Human Resources policies and procedures. - Offer legal advice to business leaders on issues impacting the company's retirement and financial wellness... business activities, including adv...

Posted On Jul 08, 26
Full-time 2 views Experience : 7-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws

Wealth business within the company, specifically supporting the retail... and oversight of brokerage capabilities and investment products. - Provide legal guidance... on regulatory requirements under the Securities Exchange Act, FINRA rules, and other... applicable laws. - Manage complex legal projects and initiativ...

Posted On Jul 29, 26
Full-time 2 views Experience : Min 3 yrs required
Practice Area:
Data Privacy - Transactional Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - M&A Corporate - General Corporate - Compliance Corporate - Contract Law Intellectual Property - General IP_ - Trademark/Copyright-Transaction Intellectual Property - Trademark/Copyright - Litigation
Job Tags:
agreements artificial intelligence Case Law Commercial Contracts contracts corporate governance Cybersecurity data privacy emerging technologies Employment Law Insurance Intellectual Property Investment Advisers Act of 1940 IP Litigation Mergers and Acquisitions Partnership partnerships Privacy Securities Securities Act of 1933 securities laws technology transactions wealth management
Practice Area:
Data Privacy - Transactional Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - M&A Corporate - General Corporate - Compliance Corporate - Contract Law Intellectual Property - General IP_ - Trademark/Copyright-Transaction Intellectual Property - Trademark/Copyright - Litigation
Job Tags:
agreements artificial intelligence Case Law Commercial Contracts contracts corporate governance Cybersecurity data privacy emerging technologies Employment Law Insurance Intellectual Property Investment Advisers Act of 1940 IP Litigation Mergers and Acquisitions Partnership partnerships Privacy Securities Securities Act of 1933 securities laws technology transactions wealth management

and direction to the company regarding legal affairs and... contract review, negotiation, and drafting; counsel company personnel on business, technology,... privacy, and compliance-related legal matters. - Offer practical, risk-based guidance on new initiatives and strategic projects. - Support SaaS products, AI in...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
Affirmative Action closing documents Domestic Violence family Government I-9 Partnership private equity social security special projects spectrum stalking
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
Affirmative Action closing documents Domestic Violence family Government I-9 Partnership private equity social security special projects spectrum stalking

and governing documentation for new entities. - Coordinate with outside counsel to distribute legal documents to prospective investors and manage closings for company funds. - Communicate with fund... investors, outside counsel, and business units regarding the status and timing of closings. - Orga...

Posted On Jul 27, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
agreements artificial intelligence asset management board of directors corporate governance Insurance investment management Mutual Funds organizational documents stage trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
agreements artificial intelligence asset management board of directors corporate governance Insurance investment management Mutual Funds organizational documents stage trusts

Compliance department at the company. The primary responsibilities of... services to support the company's market units and corporate... position involves legal work related to accounting, administration, and distribution services for registered investment products such as mutual... funds, exchange-traded funds, clos...

Posted On Sep 28, 26
Full-time 5 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

one or more registered investment advisers that manage private... credit funds and other investment vehicles, including funds registered... under the Investment Company Act of 1940. -... issues arising under the Investment Advisers Act of 1940,... including governance, fiduciary obligations, disclosures, conflicts...

Posted On Jul 28, 26
Full-time 4 views Experience : 4-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act Affirmative Action agreements asset management credit facilities Domestic Violence ERISA family fund formation LLC Partnership private equity Securities special projects spectrum stalking
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act Affirmative Action agreements asset management credit facilities Domestic Violence ERISA family fund formation LLC Partnership private equity Securities special projects spectrum stalking

operative documents for the Company's closed-end and evergreen commingled... funds and separately managed accounts. This includes documents such as limited partnership agreements, LLC agreements, subscription agreements, private placement memoranda, and other ancillary documents. - Collaborate with structuring and product development teams...

Posted On Jul 22, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence asset management Bank Secrecy Act document review equity Ethics family FCPA FINRA Insurance OFAC organizational documents pension Securities special projects stage
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence asset management Bank Secrecy Act document review equity Ethics family FCPA FINRA Insurance OFAC organizational documents pension Securities special projects stage

Senior Paralegal at the company is primarily tasked with... filings related to pooled investment vehicles and the adviser.... Additionally, the role involves preparing investment company board meeting materials... and... maintaining corpora...

Posted On Jul 28, 26
Full-time 1 views Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

compliance program of the company across various funds, including... registered private equity funds, private debt funds, and exchange-traded funds (ETFs). The officer is responsible for ensuring adherence to applicable regulatory requirements and internal policies. Key responsibilities include: - Regulatory Compliance: -...

Posted On Sep 24, 26
Full-time 6 views Experience : 1-3 yrs required
Job Tags:
fiduciary finance investment management Privacy Securities special projects wealth management
Job Tags:
fiduciary finance investment management Privacy Securities special projects wealth management

client requests, take necessary actions to resolve issues, and keep relevant parties informed. - Act as an initial point... of contact for client and internal communications, manage information flow, prioritize needs, and assist with drafting communications. - Assist the relationship management team...

Posted On Sep 15, 26
Full-time 1 views
Job Tags:
finance hedge funds partnerships private equity Software Taxation Venture Capital
Job Tags:
finance hedge funds partnerships private equity Software Taxation Venture Capital

and client service teams comply with all company policies, standards, and the... BDO Tax Quality Manual. - Apply understanding of client’s unique circumstances and prepare required filings using a system of review and documentation. - Ensure all data needed for filing requir...

Posted On Sep 15, 26
Full-time 1 views Experience : Min 5 yrs required
Job Tags:
family finance gift tax Government Insurance Partnership private client Software Taxation
Job Tags:
family finance gift tax Government Insurance Partnership private client Software Taxation

Title: Tax Manager, Private Client Services Job Responsibilities: - Manage tax and consulting engagements, utilizing skills to identify and address client needs, tax planning, and consulting opportunities. - Work directly with clients and their advisors to gather necessary information for tax return preparation. -...

Posted On Aug 06, 26
Full-time Experience : Min 12 yrs required
Job Tags:
asset management child derivatives employee benefits family finance Government Insurance NYSE pension private equity regulatory compliance stock exchange Women
Job Tags:
asset management child derivatives employee benefits family finance Government Insurance NYSE pension private equity regulatory compliance stock exchange Women

Job Title: Sr Director, Investment Compliance Job Responsibilities: -... comprehensive compliance program for investment advisory activities over the... Investments of Insurers Model Act, Iowa Code Chapters 508/511,... Establish and maintain written policies and procedures covering investment advisory, portfolio management, t......

Posted On Sep 21, 26
Full-time Experience : Min 8 yrs required
Job Tags:
Computer Science finance marketing Software stage Water
Job Tags:
Computer Science finance marketing Software stage Water

Solutions team at the company, utilizing industry knowledge and... experience to assist clients in implementing tax automation tools. Key responsibilities include: - Marketing, networking, and business development. - Assessing client tax departments to identify areas in need of automation across tax data,...

Posted On Oct 04, 26
Full-time
Job Tags:
company policies finance GDPR General Data Protection Regulation information technology licensing marketing technical advisor
Job Tags:
company policies finance GDPR General Data Protection Regulation information technology licensing marketing technical advisor

Title: Senior Commercial Executive, Financial Services Job Responsibilities: - Acts as a trusted advisor to determine how commercial licensing and contracting should be changed to best meet customer needs. - Leverages understanding of sales science to establish a strategic sales execution cadence. - Develops...

Posted On Sep 21, 26
Full-time 21 views Experience : 8-8 yrs required
Practice Area:
Trucking and Auto Defense Insurance Trucking and Auto Plaintiffs Insurance Plaintiffs - General Insurance Defense - General Insurance Coverage Insurance - Regulatory & Compliance Personal Injury Defense Personal Injury Plaintiffs
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management
Practice Area:
Trucking and Auto Defense Insurance Trucking and Auto Plaintiffs Insurance Plaintiffs - General Insurance Defense - General Insurance Coverage Insurance - Regulatory & Compliance Personal Injury Defense Personal Injury Plaintiffs
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth clients, developing and deepening client relationships through needs-based, high-level client service. - Responsible for delivering a full suite of wealth solutions, including financial...

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