Legal 1940 Act Jobs Jobs in Sharon, MA

Finance - Financial Services Regulation Attorney / Finance - Banking Attorney / Finance - General Attorney in Westwood, MA

In-House • **Members Only** Westwood, MA

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Posted On Jul 14, 26

Full-time 1 views Experience : 3-5 yrs required

Practice Area:

Finance - Financial Services Regulation Finance - Banking Finance - 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 provide comprehensive legal support to the wealth management, trust, fiduciary, investment advisory, and brokerage businesses within the company. Key responsibilities include: - Offering legal advice on a wide range of matters...

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ERISA/Executive Compensation Transactions & Compliance Attorney / ERISA - General Attorney / Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Newton, MA

In-House • **Members Only** Newton, MA

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Posted On Aug 11, 26

Full-time Experience : Min 15 yrs required

Practice Area:

ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

asset management contracts ERISA family fiduciary FINRA Investment Advisers Act of 1940 Mutual Funds securities laws wealth management

Title: Senior Associate General Counsel Job Responsibilities: The Senior Associate General Counsel will support multiple business lines within the company, focusing primarily on retirement plans. The key job responsibilities include acting as the primary legal counsel in the subject matter of asset...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Jul 13, 26

Full-time 2 views Experience : 3-8 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management

Title: VP, Public Markets Attorney Job Responsibilities: - Advise portfolio management, product development/management, and sales teams on legal matters. - Assist business units in structuring and launching new registered and unregistered products. - Review and prepare registration statements, PPMs, related documents, proxy materials, and...

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Corporate - Asset/Investment Management Attorney / Corporate - Private Equity Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Jul 13, 26

Full-time 6 views Experience : Min 4 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General

Job Tags:

40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933

relation to fundraising, marketing activities, and compliance requirements. Key responsibilities encompass a wide range of activities within the department's Private Side business, including: - Advising on the formation and management of complex fund structures such as 3c7, 3c5, 34 Act registered...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Jul 13, 26

Full-time 2 views Experience : Min 4 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management

of Solutions and Multi-Assets Legal and working under the supervision of senior attorneys. Your primary responsibilities include providing legal coverage to the department's Solutions and Multi-Assets businesses across various strategies and products like separate accounts, private funds, 1940 Act r...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Jul 23, 26

Full-time 3 views Experience : 6-8 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

1940 Act contracts equity Investment Advisers Act of 1940 investment management Mutual Funds registered investment companies special projects

Title: Counsel - Investment Management Job Responsibilities: - Provide legal counsel for significant and strategic regulatory initiatives and ongoing operations, including complex regulatory-related processes, policies, and procedures. - Review, monitor, and resolve legal and regulatory issues related to assigned matters and other special...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Boston, MA

Law Firm • **Members Only** Boston, MA

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Posted On Sep 03, 26

Full-time 1 views Experience : Min 3 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

Investment Advisers Act of 1940

Investment Company Act of 1940, the Investment Advisers Act... of 1940, and commodity regulation. Education and... Experience Information: - Candidates should have at least three years of experience in investment fund formation and regulation. - Must be admitted to p...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Boston, MA

Law Firm • **Members Only** Boston, MA

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Posted On Sep 23, 26

Full-time 1 views Experience : Min 7 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

family fund formation Investment Advisers Act of 1940 private equity Securities Securities Act of 1933

Provide legal services in accordance with the Securities Act of 1933, Investment Advisers... Act of 1940, and Investment... Company Act... of 1940. - Represent venture... capitalists, private... equity firms, hedge fund managers, and family offices in various transactions. - Handle all aspect...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Boston, MA

Law Firm • **Members Only** Boston, MA

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Posted On Sep 04, 26

Full-time 13 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

Title: Legal & Compliance - PWPF Legal Group – 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 and participate in...

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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney / ERISA/Executive Compensation Transactions & Compliance Attorney / ERISA - General Attorney / Corporate - General Attorney / Finance - General Attorney in

In-House • **Members Only** Boston, MA

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Posted On Jul 07, 26

Full-time 10 views Experience : 3-5 yrs required

Practice Area:

Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General

Job Tags:

agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management

Title: Counsel - Wealth Management Job Responsibilities: - Provide legal support to wealth management, trust, fiduciary, investment advisory, and brokerage business units. - Interpret and apply fiduciary principles and duties to ensure compliance with relevant laws and regulations. - Offer advice on advisory and...

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Legal Staff Paralegal in Boston, MA

In-House • **Members Only** Boston, MA

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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 - General

Job Tags:

asset management registered investment companies securities laws

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager will work with members of the General Counsel’s Organization in supporting the Columbia Management investment advisor and Columbia Threadneedle Investments business. Key responsibilities include: - Providing legal and regulatory support for Columbia...

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Legal Staff Paralegal in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Aug 05, 26

Full-time 2 views Experience : Min 1 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

asset management EEOC Employee Rights equity Family and Medical Leave Act Harassment Mutual Funds Privacy Securities stage title

Overview Employer: Company Title: Legal Analyst - Fund Disclosure & SEC Registration About Company:

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Corporate - Asset/Investment Management Attorney / Corporate - Compliance Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Aug 20, 26

Full-time 1 views Experience : 5-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Compliance Corporate - General

Job Tags:

agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including legal analysis and advice regarding applicable rules, regulations, and legal risks related to brokerage and investment advisory businesses. -...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Boston, MA

Law Firm • **Members Only** Boston, MA

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Posted On Sep 03, 26

Full-time 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

Title: Investment Management Associate Attorney (Senior-Level) Job Responsibilities: - Represent clients within the investment management industry, providing legal services that encompass a wide range of regulatory and compliance issues. - Work with registered investment advisers and investment companies, including registered alternative asset funds...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Boston, MA

In-House • **Members Only** Boston, MA

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Posted On Sep 01, 26

Full-time 2 views Experience : Min 6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, ensuring compliance with applicable rules, regulations, and assessing legal risks related to the brokerage and investment advisory business. - Draft,...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Boston, MA (Remote)

Law Firm • **Members Only** Boston, MA

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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

Title Content Lawyer - Registered Funds Job Responsibilities The Registered Funds Content Lawyer is tasked with developing and executing a comprehensive content strategy centered on innovative and complex registered funds products and the regulatory developments influencing the...

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Registered Funds Associate Attorney

Recruiter • **Members Only** Boston, MA

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Posted On Aug 17, 26

Full-time 94 views Experience : 2-10 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management

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

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