Legal Etfs Jobs Jobs in New Rochelle, NY

Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Stamford, CT

In-House • **Members Only** Stamford, CT

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Posted On Aug 21, 26

Full-time 2 views Experience : Min 15 yrs required

Practice Area:

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

Job Tags:

40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

Title: Chief Compliance Officer Job Responsibilities: - Design, implement, and maintain a comprehensive compliance program covering Registered Investment Adviser (RIA), Broker-Dealer (B/D), and 40 Act registered fund obligations, including all policies, procedures, testing, and supervisory controls. - Monitor proposed SEC,...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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Posted On Aug 25, 26

Full-time 37 views Experience : 3-5 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

Capital Markets equity ETFs Mutual Funds REITs trusts

structure, and advise on various retail fund products, including traditional funds such as mutual funds, ETFs, and listed closed-end funds. -... Handle “alternative” funds, including interval/tender offer funds, business development companies (BDCs), real estate investment trusts (REITs), “holding company” and simil...

Corporate - Asset/Investment Management Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Aug 19, 26

Full-time 27 views Experience : 4-8 yrs required

Practice Area:

Corporate - Asset/Investment Management

Job Tags:

Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 partnerships pension Securities Act of 1933 securities laws trusts wealth management

open-end funds, closed-end funds, ETFs, and collective investment trusts. -... Review, draft, and negotiate various fund-related agreements such as intermediary and fund participation agreements, ETF authorized participant agreements, and contracts with key service providers. - Act as a trusted advisor to internal...

Corporate - Asset/Investment Management Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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Posted On Aug 13, 26

Full-time 10 views Experience : 1-3 yrs required

Practice Area:

Corporate - Asset/Investment Management

Job Tags:

asset management Common Law ETFs health insurance investment management marketing pension title

work including: - Establishment of all types of Irish fund structures across a broad range of investment strategies, including ETFs and other UCITS, as... well as Private Funds (PE, VC, real estate, infrastructure, credit/loan origination and others) - Advising on UCITS Manageme...

Finance - Financial Services Regulation Attorney / Finance - General Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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Posted On Aug 20, 26

Full-time 9 views Experience : 2-4 yrs required

Practice Area:

Finance - Financial Services Regulation Finance - General

Job Tags:

1940 Act directors ETFs investment management M&A Mutual Funds registered investment companies underwriters

Investment Management Group, focusing on: - Advising funds, fund sponsors, underwriters, and other service providers. - Structuring, offering, operating, ongoing financing, and regulation of registered investment companies, including closed-end funds, mutual funds, ETFs, and business development companies. -... Providing corporate and regulatory advi...

Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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Posted On Jul 09, 26

Full-time 15 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

Title: Capital Markets Associate Job Responsibilities: - Collaborate within the Corporate Finance and Capital Markets practice to structure and execute innovative, complex financial transactions for clients across various industries globally. - Participate in organizing and raising capital for private credit and private equity...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Aug 19, 26

Full-time 15 views Experience : Min 7 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management

Title Senior Vice President, Head of Legal and Compliance Job Responsibilities - Provide legal and compliance support for the company's . broker-dealer, ensuring adherence to relevant regulatory requirements. - Draft, review, and negotiate a wide range of agreements related to...

Legal Staff Paralegal in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Aug 17, 26

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

Practice Area:

Finance - Financial Services Regulation Finance - General

Job Tags:

Affirmative Action ETFs finance Government Mutual Funds

high volume of US registered fund (., ETFs, mutual funds) regulatory filings... and related documentation. - Support multiple fund boards with ongoing governance activities. - Assist in training and supervising other paralegals in connection with US fund regulatory filings. - Collaborate with count...

Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Finance - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Aug 17, 26

Full-time 12 views

Practice Area:

Finance - Financial Services Regulation Fintech & Blockchain Finance - General

Job Tags:

Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs

Servicing business. The candidate will primarily support the Asset Servicing’s Fund Services group, which includes fund accounting, administration, transfer agency, middle office, custody, and other services to a diverse range of registered and unregistered funds, ETFs, UITs, and other inve......

Corporate - Asset/Investment Management Attorney / Corporate - Contract Law Attorney / Fintech & Blockchain Attorney / Finance - Financial Services Regulation Attorney / Corporate - General Attorney / Finance - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Sep 07, 26

Full-time 16 views Experience : Min 4 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Contract Law Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General

Job Tags:

agreements ETFs finance hedge funds Insurance pension private equity Securities special projects

company, initially focusing on specific areas such as Custody, Fund Services, ETFs, Agency Securities Finance, Collateral... Management, Cash and Liquidity Management, Depositary Receipts, and Digital Assets based on business needs and expertise. - Negotiate complex service agreements, including custody, fund adm...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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Posted On Jul 13, 26

Full-time 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

including separate accounts, private funds, 1940 Act registered funds, and ETFs. - Advise on trading agreements... and related regulatory obligations. - Collaborate with legal teams covering Public and Private Side businesses and other divisions, such as wealth management and institutional securities. -...

Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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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

of Public Side Legal and working under the supervision of senior attorneys, the incumbent will provide legal guidance and support for the company's registered equity, fixed income, and liquidity funds, ETFs, private funds, and institutional... business. Key responsibilities include: - Advi...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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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

Title Investment Management Group – Registered Funds Mid-Level Associate Job Responsibilities The mid-level associate in the Investment Management Group at the law firm is expected to have experience in 1940 Act registered funds and business development company work. The associate will work closely...

Attorney in New York City, NY (Remote)

In-House • **Members Only** New York City, NY

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Posted On Sep 08, 26

Full-time Experience : Min 7 yrs required

Job Tags:

advertising ETFs finance Financial Institutions FINRA health benefits hedge funds licensing marketing Privacy regulatory compliance Software stock options title

brokerage infrastructure for stocks, ETFs, options, crypto, fixed income,... 24/5 trading, and more. Amongst its subsidiaries, Company is a licensed financial services company, serving hundreds of financial institutions across 40 countries with institutional-grade APIs. This includes broker-dealers, investment advisors, weal...

Registered Funds Associate Attorney

Recruiter • **Members Only** New York City, NY

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Posted On Jul 27, 26

Full-time 101 views Experience : 2-10 yrs required

Practice Area:

Corporate - M&A Corporate - Asset/Investment Management

advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds, exchange-traded funds (ETFs), closed-end funds, interval funds,... tender offer funds, and business development companies, as well as their advisers and directors. This role involves collaborating...

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