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United States
Posted On Sep 23, 26
Full-time 15 views Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management

Title Senior Vice President, Head of Legal and Compliance Job Responsibilities - Provide legal and compliance support for the company's . broker-dealer, ensuring adherence to relevant regulatory requirements. - Draft, review, and negotiate a wide range of agreements related to...

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Posted On Jul 07, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: - Collaborate with and provide legal guidance to all business lines and departments across the company, including product development, technology, compliance, finance, HR, and marketing teams. - Advise on and support the operation of...

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Posted On Jul 08, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: The Assistant General Counsel will collaborate with and provide legal guidance to all business lines and departments across the company, including product development, technology, compliance, finance, HR, and marketing teams. The role involves...

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Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

Affairs Manager Job Description Company is seeking to hire a Legal Affairs Manager to join the team. The primary focus of this role is to support the Columbia Threadneedle Investments registered investment companies. Under the guidance of an attorney, the Legal Affairs...

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Posted On Jul 13, 26
Full-time Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management

including separate accounts, private funds, 1940 Act registered funds, and ETFs. -... Advise on trading agreements and related regulatory obligations. - Collaborate with legal teams covering Public and Private Side businesses and other divisions, such as wealth management and institutional securities. -...

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Posted On Jul 13, 26
Full-time 3 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management

Title: VP, Public Markets Attorney Job Responsibilities: The VP, Public Markets Attorney will be a critical member of the public-side legal team within the company. Reporting to the Head of Public Side Legal and working under the supervision of senior attorneys, the...

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Posted On Jul 13, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933

Title: VP, Private Markets Attorney Job Responsibilities: The VP, Private Markets Attorney is primarily responsible for advising investment professionals and directing outside counsel regarding fundraising, marketing activities, and compliance requirements arising from statutory, regulatory, and internal policy obligations. The role includes legal...

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Posted On Jul 14, 26
Full-time 3 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

General Counsel Job Title: Assistant General Counsel Job Responsibilities: The Assistant General Counsel will serve as Counsel supporting the Wealth Management Division of the company. The primary responsibilities include: - Providing legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses. -...

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Posted On Aug 12, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

information (SAIs) and other disclosure documents required by the Investment Company Act of 1940, Securities Act of 1933, and... the Securities Exchange Act of 1934. -... Solicit and coordinate input to disclosure documents from business lines, including product, marketing, fund administr...

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Posted On Aug 17, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Markets platforms at the company. The attorney's responsibilities include advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions. Specific duties involve:... - Advising on complex products and transact...

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Posted On Aug 26, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

of alternative investment and private markets products, as well as private securities transactions. - Handle complex products... and transactions involving alternative investment funds, feeder funds, private equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and... other pri...

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Posted On Aug 26, 26
Full-time 1 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

company, with a particular focus on the firm's expanding Private Securities transactional business. - Analyze, review,... negotiate, structure, and approve matters related to the firm's private securities trading businesses. - Work on... transactions involving customer purchases, sales, or crossing of private securit...

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Posted On Sep 07, 26
Full-time 3 views Experience : 7-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
board of directors Capital Markets corporate governance corporate transactions data privacy directors due diligence Employment Discrimination equity Equity Compensation finance insurance coverage M&A Mergers and Acquisitions NASDAQ SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Software Workplace Violence
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
board of directors Capital Markets corporate governance corporate transactions data privacy directors due diligence Employment Discrimination equity Equity Compensation finance insurance coverage M&A Mergers and Acquisitions NASDAQ SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Software Workplace Violence

a publicly traded company, providing leadership and advice on several critical areas including . securities law compliance, SEC reporting... and disclosure obligations, corporate governance, insider trading compliance, executive compensation disclosures, and Board of Directors activities. The attorney will work clo...

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Posted On Sep 17, 26
Full-time 3 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

Title: Paralegal Job Responsibilities: The Paralegal at the company will primarily focus on supporting the Columbia Threadneedle Investments registered investment companies. Key responsibilities include: - Coordinating the creation, updating, and filing of registration statement post-effective amendments containing prospectuses and statements of...

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Posted On Sep 23, 26
Full-time 4 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management

Company Act of 1940, Securities Act of 1933, Securities... Exchange Act of 1934,... and related SEC rules and regulations. - Advise on the ongoing operation, maintenance, governance, and regulatory oversight of mutual funds, ETFs, and closed-end funds. - Review and...

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Posted On Sep 28, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Capital Markets corporate transactions data privacy finance financial products Intellectual Property M&A marketing Media partnerships SEC filings Securities Securities Act of 1933 securities laws world trade
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Capital Markets corporate transactions data privacy finance financial products Intellectual Property M&A marketing Media partnerships SEC filings Securities Securities Act of 1933 securities laws world trade

reporting and related SEC filings, and support compliance with . federal securities laws across the company's... offering, trading, and investor communication activities. - Assist with regulatory analysis relating to the company's investment vehicles and new product structures. - Structure and execute corpora...

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Posted On Sep 23, 26
Full-time 10 views Experience : Min 5 yrs required
Practice Area:
ERISA - General ERISA/Executive Compensation Transactions & Compliance
Job Tags:
Domestic Violence equity ERISA fund formation growth equity health benefits Insurance Investment Advisers Act of 1940 life sciences marketing Partnership private equity Securities Securities Act of 1933 securities laws stalking
Practice Area:
ERISA - General ERISA/Executive Compensation Transactions & Compliance
Job Tags:
Domestic Violence equity ERISA fund formation growth equity health benefits Insurance Investment Advisers Act of 1940 life sciences marketing Partnership private equity Securities Securities Act of 1933 securities laws stalking

and ensure compliance with federal, state, and international securities laws, including the Investment... Advisers Act of 1940, the Securities Act of 1933, and... the Exchange Act of 1934. - Devise, initiate,... maintain, and revise compliance and regulatory policies, procedures, controls, an...

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Posted On Aug 21, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General Tax-General Practice (Transaction) Tax - M&A and Transactions Tax - International Tax - Federal Tax - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Finance - Financial Services Regulation Finance - General Tax-General Practice (Transaction) Tax - M&A and Transactions Tax - International Tax - Federal Tax - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title: Legal Counsel - Alternative Investments Job Responsibilities: - Oversee the distribution of complex fund or feeder fund offerings, including drafting and negotiating placement agent and other distribution agreements. - Manage custom fund offerings and servicing agreements, as well as review offering documents...

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Posted On Aug 25, 26
Full-time 1 views Experience : 5-10 yrs required
Job Tags:
artificial intelligence directors Ethics family finance Financial Institutions FINRA hedge funds Investment Advisers Act of 1940 private equity Securities securities laws special projects spectrum
Job Tags:
artificial intelligence directors Ethics family finance Financial Institutions FINRA hedge funds Investment Advisers Act of 1940 private equity Securities securities laws special projects spectrum

Title: Fractional Compliance Manager (Advisor Network) Job Responsibilities: - Provide expert advice and guidance to clients on their compliance programs, focusing on Alternative Asset Firms and Family Offices. - Develop realistic and effective monthly action plans for clients. - Identify internal and contextual roadblocks...

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Posted On Aug 19, 26
Full-time 2 views Experience : 3-7 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Affirmative Action agreements board of directors corporate governance due diligence Joint Ventures M&A Media mergers SEC filings Securities Securities Act of 1933 special projects stock exchange Water
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Affirmative Action agreements board of directors corporate governance due diligence Joint Ventures M&A Media mergers SEC filings Securities Securities Act of 1933 special projects stock exchange Water

Job Title: Corporate, Securities & M&A Attorney Job Responsibilities: Corporate... Governance & Securities - Support the legal department... in advising the Board of Directors, board committees, and senior management Section 16 filings. - Support securities law compliance under the... Securities Act of 1933, the......

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