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1940 Act Jobs in District Of Columbia

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United States
Posted On Sep 28, 26
Full-time 3 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

and other investment vehicles, including certain funds registered under the Investment Company Act of 1940. - Provide legal support on... matters related to the Investment Advisers Act of 1940, including governance, fiduciary obligations,... disclosures, conflicts of interest, regulatory filings, SEC examinati...

Posted On Sep 30, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A Corporate - Compliance Corporate - 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 - M&A Corporate - Compliance Corporate - 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: - Provide legal counsel regarding core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity requirements applicable to company's operations and...

Posted On Sep 16, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa

Title: Associate General Counsel, Fund Governance Job Responsibilities: - Acts as a strategic legal advisor on corporate governance matters, providing practical advice to trustees, directors, senior executives, and other stakeholders on legal requirements, fiduciary obligations, governance practices, and board processes. - Hires, evaluates,...

Posted On Sep 06, 26
Full-time 2 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: Content Lawyer - Registered Funds Job Responsibilities: Content Strategy: - Develop and execute an editorial calendar and content pipeline focused on the registered funds space, covering topics such as Retail 3c7s, interval funds, tender offer funds, non-traded...

Posted On Sep 05, 26
Full-time 9 views Experience : Min 4 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Administrative Law Case Law Corporation finance Investment Advisers Act of 1940 investment management public sector RICO securities laws
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Administrative Law Case Law Corporation finance Investment Advisers Act of 1940 investment management public sector RICO securities laws

on federal securities laws, administrative procedures, and other laws relevant to the SEC within the Administrative Law and Legal Review Group. Key responsibilities include: - Overseeing and directing a team of attorneys who review and analyze draft Commission and staff act...

Posted On Sep 11, 26
Full-time 12 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws shareholders Venture Capital
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws shareholders Venture Capital

Title: Associate - Private Funds/Investment Services Job Responsibilities: The associate will join the Investment Services team within the corporate practice area, working in one of the law firm's offices in Chicago, New York, or Washington, DC. The role involves working closely with...

Posted On Sep 11, 26
Full-time 18 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws Venture Capital
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws Venture Capital

Title: Associate - Private Funds/Investment Services Job Responsibilities: The Associate in the Private Funds/Investment Services practice area will be responsible for working with SEC-registered investment advisers and private investment funds, including private equity, venture capital, real estate, and similar investment vehicles. Key...

Posted On Sep 23, 26
Full-time 12 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking

Title: Attorney, VP Job Responsibilities: - Participate in the design, launch, and ongoing management of new and existing registered funds and other vehicles. - Assist with project management and fund formation matters, participating in product development of various investment structures across multiple jurisdictions. -...

Posted On Sep 04, 26
Full-time 5 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking

Title: Attorney, VP Job Responsibilities: The Attorney, VP role within the Private Wealth Public Funds (PWPF) Legal Group at the law firm involves working on various legal and general corporate matters related to registered funds and Business Development Companies (BDCs) within the...

Posted On Sep 03, 26
Full-time 3 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
child corporate governance criminal family Investment Advisers Act of 1940 investment management licensing ordinances registered investment companies securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
child corporate governance criminal family Investment Advisers Act of 1940 investment management licensing ordinances registered investment companies securities laws

Title: Investment Management Associate Attorney (Senior-Level) Job Responsibilities: - Represent clients across the investment management industry, with a focus on providing legal guidance and expertise. - Possess 3-6 years of experience, preferably at an Am Law top 100 firm, with valued regulatory experience...

Posted On Sep 14, 26
Full-time 9 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
1940 Act asset management Capital Markets due diligence ETFs life sciences private equity public offerings Securities underwriters
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
1940 Act asset management Capital Markets due diligence ETFs life sciences private equity public offerings Securities underwriters

Markets Associate Job Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will be a key member of the Corporate Finance and Capital Markets practice at the law firm. The associate will be responsible for structuring and executing innovative and complex financial transactions...

Posted On Sep 03, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
Amnesty Domestic Violence Insurance regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
Amnesty Domestic Violence Insurance regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Insurance Regulatory Associate Job Responsibilities: The Insurance Regulatory Associate will join the Insurance Products Group at the law firm to work on sophisticated matters at the intersection of insurance and securities regulation. The associate will work closely with partners recognized for...

Posted On Aug 26, 26
Full-time 3 views Experience : 2-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - Asset/Investment Management Corporate - General

registered funds. - Handle the formation and ongoing operation of “permanent capital” retail investment vehicles, including business development companies (BDCs), registered closed-end funds, and similar structures. - Support fund boards on governance and compliance matters under the Investment Company Act of 1940. Educati...

Posted On Aug 25, 26
Full-time 9 views Experience : 1-3 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
equity Investment Advisers Act of 1940 SEC filings Securities Act of 1933
Practice Area:
Finance - Financial Services Regulation
Job Tags:
equity Investment Advisers Act of 1940 SEC filings Securities Act of 1933

Title: Investment Funds, Regulatory Associate Job Responsibilities: - Assist fund sponsors with fundraising and transactions - Navigate SEC examination and enforcement matters - Review offering materials and fund governing documents - Advise clients on compliance with applicable rules and regulations - Prepare SEC filings - Respond to...

Posted On Aug 20, 26
Full-time Experience : 2-4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act criminal directors ETFs investment management M&A Mutual Funds registered investment companies sexual assault stalking underwriters
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act criminal directors ETFs investment management M&A Mutual Funds registered investment companies sexual assault stalking underwriters

with specific expertise in 1940 Act registered funds and... business development company work. The selected candidate will be involved in various responsibilities, including advising funds, fund sponsors, underwriters, and other service providers. The primary duties encompass structuring, offering, operating, ongoin...

Posted On Aug 16, 26
Full-time 88 views Experience : 2-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets

law firm in Washington, DC is seeking a Registered Funds Associate Attorney with 3-6 years of legal experience. The candidate will provide comprehensive legal advice and guidance to clients on matters related to registered investment companies, including mutual funds, ETFs,...

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