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  1. Legal Jobs
  2. Browse Legal Jobs
  3. Massachusetts
  4. West Roxbury
  5. Registered Investment Advisor
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United States
Posted On Jul 07, 26
Full-time 7 views Experience : Min 9 yrs required
Practice Area:
Finance - Financial Services Regulation Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
banking corporate governance due diligence Employer Rights family fiduciary FINRA Genetics Registered Investment Advisor
Practice Area:
Finance - Financial Services Regulation Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
banking corporate governance due diligence Employer Rights family fiduciary FINRA Genetics Registered Investment Advisor

Provide legal counsel on investment products and services, focusing... disclosure requirements, legal risk mitigation, and product due diligence activities. - Act as the legal subject matter expert for broker-dealer and registered investment advisor matters, advising... business... leaders and stakeholders on...

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Posted On Sep 01, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

platform, ensuring compliance with applicable rules, regulations, and assessing legal risks related to the brokerage and investment advisory business. - Draft,... review, and revise agreements with alternative investment sponsors for onboarding products... onto the company's alternative investments platform. - Cou...

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Posted On Aug 19, 26
Full-time 4 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements brokers Commercial Contracts contracts fiduciary FINRA partnerships regulatory compliance wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements brokers Commercial Contracts contracts fiduciary FINRA partnerships regulatory compliance wealth management

Title: Senior Counsel, VP – Wealth Services Legal Job Responsibilities: - Provide comprehensive legal support for the company's Wealth businesses focusing on retail brokerage elements within the Wealth initiatives. - Advise on SEC, CFTC, applicable bank regulation, and other regulatory...

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Posted On Aug 20, 26
Full-time 1 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

advice regarding applicable rules, regulations, and legal risks related to brokerage and investment advisory businesses. - Collaborate... with a senior attorney on internal merger and acquisition projects, supporting conversions, and serving as a legal advisor to the business, compliance,... op...

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Posted On Aug 28, 26
Full-time 4 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

ongoing controls of Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the alternative investments platform, ensuring compliance with applicable rules, regulations, and legal risks in brokerage and investment advisory. - Draft, review, and... revise agreements with altern...

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Posted On Jul 08, 26
Full-time Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management registered investment companies securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management registered investment companies securities laws

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager will work with members of the General Counsel’s Organization in supporting the Columbia Management investment advisor and Columbia Threadneedle... Investments business. Key responsibilities include: - Providing legal and regulatory support for Columbia...

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