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  3. Florida
  4. North Miami Beach
  5. Securities Act Of 1933
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United States
Posted On Sep 17, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements asset management Broker Dealer equity FINRA fund formation Investment Advisers Act of 1940 investment management Regulation D offerings regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements asset management Broker Dealer equity FINRA fund formation Investment Advisers Act of 1940 investment management Regulation D offerings regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title Vice President, Legal Team Job Responsibilities - Draft and negotiate agreements with Latin American distribution agents ensuring compliance with both . and local market regulations. - Advise on the legal implications of offering new and existing products and services, including...

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Posted On Sep 23, 26
Full-time 8 views Experience : Min 5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
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:
Finance - Financial Services Regulation Finance - General
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

primary responsibilities include supporting senior members of the compliance and legal teams on regulatory matters arising from organizations such as the SEC, CFTC, and DOL (ERISA). The role involves ensuring compliance with all relevant federal, state, and international securities la...

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Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

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Alternative Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with... compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Lead Regulatory Administrator The candidate will assist fund clients with the preparation of board minutes, the preparation and maintenance of registration statements, and related filings. Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the... Investment Company Act of 1940 and Securities Act of 1933, and... reg... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

- Investment Management The candidate will be drafting and reviewing fund registration statements, shareholder reports, marketing and related materials to ensure compliance with applicable disclosure, legal and regulatory standards. Will be drafting and reviewing fund proxy materials to ensure compliance with applicable disclosure, legal and regulatory standards. Compliance with NYSE requirements, as applicable. Drafting memoranda for fund boards of directors/truste... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney - Securities Transactions The candidate will... be working closely with the firm’s portfolio management and research teams and other business units to provide advice and counseling concerning investment, corporate restructuring, and bankruptcy-related matters on behalf of Franklin’s registered funds and advisers, private funds, and institutional clients. Reviewing and negotiating investment-related documentation related to debt, equity (venture and private equity), cry... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

## Attorney - Securities Transactions read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

SEC Governance Counsel Responsibilities: In coordination with Chief Legal Officer and SVP, Legal, provide advice and counsel to senior management, and work closely with appropriate accounting and finance personnel and operational and other personnel and outside accountants as needed, on company compliance with applicable securities laws and NYSE rules... and regulations, including filing of all periodic SEC 1934 Act filings. Review and edit,... or prepare, SEC filings, including 1... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Paralegal The candidate will serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and... Securities and Exchange Act of... 1934. Prepare drafts of regulatory documents for various mutual funds, exchange-traded funds and closed-end funds for filing with the . Securities and Exchange Commission (SEC),... including... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

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