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United States
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... related disclosures, including Forms 10-K, 10-Q, 8-K, proxy statements, and Section 16 filings. - Support securities law compliance under the... Securities Act of 1933, the... Exchange...

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Posted On Sep 11, 26
Full-time 4 views Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: 1. Bank Regulatory and Enterprise Advisory: - Provide legal counsel regarding core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity...

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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 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 Jul 19, 26
Full-time 2 views Experience : 8-10 yrs required
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital

Title: Senior Principal Consultant Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project team members. - Perform...

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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 Sep 02, 26
Full-time 1 views Experience : 5-7 yrs required
Practice Area:
Government and Government Relations Administrative Law Government - General
Job Tags:
agreements AML data privacy ETFs Financial Institutions financial products FinCEN FINRA health benefits hedge funds Litigation marketing Money Laundering OFAC Privacy Securities Exchange Act of 1934 securities laws stage startup stock options
Practice Area:
Government and Government Relations Administrative Law Government - General
Job Tags:
agreements AML data privacy ETFs Financial Institutions financial products FinCEN FINRA health benefits hedge funds Litigation marketing Money Laundering OFAC Privacy Securities Exchange Act of 1934 securities laws stage startup stock options

Title: Legal Counsel Job Responsibilities: - Navigate complex regulatory frameworks to help the business design and implement innovative financial products and services. - Lead legal reviews of product design, marketing, and customer onboarding processes to ensure compliance with applicable regulations while enabling business...

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Posted On Sep 10, 26
Full-time 2 views Experience : 6-8 yrs required
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital

Title: Senior Principal Consultant, (Chief Compliance Officer) Job Responsibilities: The Senior Principal Consultant, serving as a Chief Compliance Officer, is tasked with a comprehensive range of responsibilities pivotal to maintaining and enhancing regulatory compliance. Key duties include: - Leading or assisting in mock...

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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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