Post Jobs Upload Your Resume Log in

1940 Act Jobs

257 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. 1940 Act

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Sign Up

United States
Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: - Provide legal counsel on core federal banking laws, including prudential, safety and soundness, corporate governance, affiliate transactions, investment, and permissible activity requirements applicable to the company's operations and strategic...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - General Corporate - M&A Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Government and Government Relations Government / Public Law Administrative Law Finance - General Government - General
Practice Area:
Corporate - Compliance Corporate - General Corporate - M&A Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Government and Government Relations Government / Public Law Administrative Law Finance - General Government - General

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The Senior Associate General Counsel will be responsible for providing legal advice and strategic counsel on a range of issues that intersect banking regulation, emerging technology, digital assets, payments,...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel will be responsible for providing legal advice and strategic counsel on a wide range of matters involving prudential banking...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 10, 26
Full-time Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

Title Junior Attorney Job Responsibilities - Support senior attorneys in reviewing, drafting, negotiating, and maintaining investment management agreements, sub-advisory agreements, side letters, subscription documents, various amendments, and other legal documents across diverse account structures and transactions. - Assist in the preparation, review, and maintenance...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 09, 26
Full-time Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

Counsel Job Title Assistant Counsel Job Responsibilities - Support senior attorneys in the review, drafting, negotiation, and maintenance of legal documents such as investment management agreements, sub-advisory agreements, side letters, subscription documents, and various amendments across different account structures and transactions. - Assist in the...

Sign In or Sign Up in seconds to view this job on LawCrossing.

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 board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title

Legal Counsel Job Responsibilities The Legal Counsel is responsible for providing comprehensive legal advice to internal clients and supporting the broader Legal & Compliance Team. Key duties include advising business professionals on investment management, mutual funds, ETFs, and CIT legal and regulatory...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 10, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Corporate Law Financial Institutions FINRA health insurance Investment Advisers Act of 1940 Litigation M&A Partnership regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Corporate Law Financial Institutions FINRA health insurance Investment Advisers Act of 1940 Litigation M&A Partnership regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Senior Attorney** **Job Responsibilities:** 1. **Transactional Expertise:** - Lead and oversee complex securities transactions. - Provide regulatory counsel for investment advisers, broker-dealers, and private funds. - Handle RIA, BD, and private fund formations, along with other investment-related agreements. 2. **Regulatory Compliance:**...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 2 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements capital raising fund formation Investment Advisers Act of 1940 investment management private equity securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements capital raising fund formation Investment Advisers Act of 1940 investment management private equity securities laws

Memorandums (PPMs), Limited Partnership Agreements (LPAs), subscription agreements, and investor documents. - Advise on private placements, capital raising, side letters, and co-investments. - Support ongoing fund operations and transactions. - Provide advice on the Investment Advisers Act of 1940 and other . securitie......

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Tax - Private Client Services Tax - Federal Tax - International Tax-General Practice (Transaction) Tax - General Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits hedge funds Insurance life sciences marketing Partnership private equity Securities securities laws stalking
Practice Area:
Corporate - Asset/Investment Management Tax - Private Client Services Tax - Federal Tax - International Tax-General Practice (Transaction) Tax - General Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits hedge funds Insurance life sciences marketing Partnership private equity Securities securities laws stalking

and ongoing operation. - Participate in the structuring, design, launch, and ongoing management of new and existing registered funds, interval funds, closed-end funds, BDCs, and other vehicles offered through private wealth channels. - Advise on matters arising under the Investment Company Act...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 1 views Experience : 4-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management ETFs family finance investment management mergers Mutual Funds SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management ETFs family finance investment management mergers Mutual Funds SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Legal Counsel Job Responsibilities: - Serve as a trusted legal advisor within the company's Legal team, providing practical, business-focused legal guidance on registered investment products and related regulatory matters. - Partner closely with colleagues across Product, Investments, Compliance, Finance, Distribution, and other...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 07, 26
Full-time 2 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
Broker Dealer contracts criminal Ethics evidence federal government Financial Institutions fraud Investment Advisers Act of 1940 pleadings Privacy public sector RICO Rule of Law Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws social security title
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
Broker Dealer contracts criminal Ethics evidence federal government Financial Institutions fraud Investment Advisers Act of 1940 pleadings Privacy public sector RICO Rule of Law Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws social security title

Title: Regulatory Counsel Job Responsibilities: As a Regulatory Counsel within the Division of Examinations, Broker-Dealer Exchanges Program (BDX) at the organization, your main responsibilities will include: - Developing recommendations, reports, and presenting and defending findings while collaborating with key stakeholders within the organization,...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 07, 26
Full-time 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

Investment Company Act of 1940 Job Responsibilities: - Provide legal advice... 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 on high-impact initiatives focused...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government Contracts Government - General
Practice Area:
Government and Government Relations Government Contracts Government - General

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The role of Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel involves providing comprehensive legal counsel and strategic advice on a range of complex issues intersecting banking regulation,...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government / Public Law Government - General
Practice Area:
Government and Government Relations Government / Public Law Government - General

Title:** Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel **Job Responsibilities:** The Senior Associate General Counsel at the company will play a crucial role in providing legal advice and strategic counsel to the bank, particularly in the context of prudential banking regulation,...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 2 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
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General

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...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 10, 26
Full-time 1 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...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements CCPA child children corporate governance due diligence Employment Rights family fiduciary indemnity Insurance investment management M&A marketing mergers Privacy spectrum Women
Practice Area:
Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements CCPA child children corporate governance due diligence Employment Rights family fiduciary indemnity Insurance investment management M&A marketing mergers Privacy spectrum Women

Title: M&A Counsel Job Responsibilities: The M&A Counsel position at the company involves providing guidance and consultation on a variety of legal matters. The primary responsibilities include: - Reviewing, drafting, structuring, and negotiating agreements related to mergers and acquisitions (M&A). - Conducting legal M&A...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 07, 26
Full-time
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects

including the Investment Advisers Act of 1940 and the Investment Company... Act of 1940 rules and regulations. - Review,... analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC. - Review marketing materials, including advertising, sales literature, correspond...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 06, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
1940 Act acquisitions asset management branding fund formation Harassment investment management Joint Ventures M&A marketing Partnership Privacy private equity REITs Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
1940 Act acquisitions asset management branding fund formation Harassment investment management Joint Ventures M&A marketing Partnership Privacy private equity REITs Securities Securities Act of 1933

Title Registered Funds Content Lawyer Job Responsibilities - Develop and execute a comprehensive content strategy focused on innovative and complex registered funds products and regulatory developments within the registered funds landscape. - Produce high-quality written content including industry publications, thought...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Corporate Attorney

Recruiter • **Members Only** Philadelphia, PA

Apply
Posted On Sep 03, 26
Full-time 2 views Experience : 3-20 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General

OverviewA law firm seeks a Corporate Attorney in Philadelphia to join their Corporate Practice Group. The ideal candidate will have extensive experience in private equity and private real estate investment fund clients in all aspects of fund formation, private...

Sign In or Sign Up in seconds to view this job on LawCrossing.

By Employer Type

In-House Law Firm Recruiter Government
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend