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1940 Act Jobs in Pennsylvania

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United States
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...

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Posted On Sep 03, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
agreements child climate change contracts employee benefits family finance financial products Government Insurance NYSE pension SEC filings Securities Securities Act of 1933 special projects stock exchange Women
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
agreements child climate change contracts employee benefits family finance financial products Government Insurance NYSE pension SEC filings Securities Securities Act of 1933 special projects stock exchange Women

Title: Legal Support Specialist Job Responsibilities: - Research and apply existing federal and state laws, rules, and regulations related to insurance and annuities products registered with the SEC. - Become a trusted subject matter expert on topics related to SEC-registered insurance products. - Collaborate...

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Posted On Sep 06, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
family fund formation Investment Advisers Act of 1940 private equity Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
family fund formation Investment Advisers Act of 1940 private equity Securities Securities Act of 1933

private real estate investment fund formation. The attorney will be responsible for: - Assisting clients in all aspects of fund formation, private placements, and securities regulation. - Providing legal expertise on the Securities Act of 1933, Investment Advisers... Act of 1940,...

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Posted On Aug 17, 26
Full-time 8 views Experience : 6-10 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

engaged in private credit fund management. The key responsibilities of the position include: - Serving as a senior legal advisor to a registered investment adviser that sub-advises private credit funds, including those registered under the Investment Company Act of 1940. - Providi...

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Posted On Aug 17, 26
Full-time 8 views Experience : 6-10 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

under the Investment Company Act of 1940. - Provide primary legal support... on matters under the Investment Advisers Act of 1940, focusing on governance, disclosures,... conflicts of interest, regulatory filings, examinations, and ongoing compliance. - Advise on ’40 Act issues relevant to...

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Posted On Aug 07, 26
Full-time Experience : 5-5 yrs required
Practice Area:
Finance - Project Finance Finance - Structured Finance Finance - General
Job Tags:
alcohol children derivatives Disability Benefits ERISA Financial Institutions FINRA health benefits hedge funds Insurance Investment Banking ISDA lending LLC regulatory compliance Securities Visa
Practice Area:
Finance - Project Finance Finance - Structured Finance Finance - General
Job Tags:
alcohol children derivatives Disability Benefits ERISA Financial Institutions FINRA health benefits hedge funds Insurance Investment Banking ISDA lending LLC regulatory compliance Securities Visa

Title: Assistant General Counsel, VP Job Responsibilities: - Provide legal support for repo and secured financing transactions, including bilateral and tri-party repo, securities lending/agented (ALD) repo, sponsored repo, and structured repo arrangements. - Advise trading, credit, and operations teams on repo documentation (MRA,...

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Posted On Jul 28, 26
Full-time Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

Title: Senior Compliance Officer Job Responsibilities: The Senior Compliance Officer will play a crucial role in supporting the compliance program of the company across various funds, including registered private equity funds, private debt funds, and exchange-traded funds (ETFs). The officer is responsible...

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Posted On Jul 19, 26
Full-time 1 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. This includes overseeing and reviewing the work of project team...

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Posted On Jul 06, 26
Full-time 4 views Experience : 10-15 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act agreements Business Law confidentiality agreements contracts Mutual Funds
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act agreements Business Law confidentiality agreements contracts Mutual Funds

Title: Legal Advisor for Proprietary Mutual Funds Job Responsibilities: - Provide leadership, direction, and subject matter expertise on complex projects and initiatives. - Serve as a legal lead and trusted advisor to business leaders on legal and regulatory matters related to the company's...

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Posted On Jul 09, 26
Full-time 14 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management
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 Corporate - Asset/Investment Management
Job Tags:
1940 Act asset management Capital Markets due diligence ETFs life sciences private equity public offerings Securities underwriters

Title: Capital Markets Associate Job Responsibilities: - The Capital Markets Associate will be a part of the Corporate Finance and Capital Markets practice, which is recognized for structuring and executing innovative and complex financial transactions. - The associate will work with a team...

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Corporate Attorney

Recruiter • **Members Only** Philadelphia, PA

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Posted On Sep 03, 26
Full-time 1 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...

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