Legal Investment Advisers Act Of 1940 Jobs Jobs in Alexandria, VA

Corporate - Asset/Investment Management Attorney in Arlington, VA (Remote)

In-House • **Members Only** Arlington, VA

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Posted On Sep 21, 26

Full-time 7 views Experience : 8-12 yrs required

Practice Area:

Corporate - Asset/Investment Management

Job Tags:

artificial intelligence directors FINRA Investment Advisers Act of 1940 Media Partnership title Visa

compliance consulting services to investment advisers, broker-dealers, and private... fund managers. - Manage ongoing client relationships and deliver high-quality service across both annual engagements and project-based work. - Conduct and lead complex compliance reviews, both remote and on-site, and synthesize findings into...

Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Washington, DC (Remote)

Government • **Members Only** Washington, DC

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Posted On Sep 15, 26

Full-time 1 views Experience : Min 2 yrs required

Practice Area:

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

Job Tags:

Administrative Law Administrative Procedure Act Corporation criminal Ethics evidence federal government finance Investment Advisers Act of 1940 Investment Company Act investment management Privacy public sector RICO Rule of Law Securities Securities Exchange Act of 1934 securities laws social security title

providing comprehensive legal analysis and advice on federal securities laws and conducting reviews related to the Division of Investment Management or Trading and... Markets. Attorneys in this position are tasked with analyzing rulemakings and recommendations prepared by SEC divisions an...

Corporate - Asset/Investment Management Attorney / Corporate - M&A Attorney / Corporate - General Attorney in Washington, DC (Remote)

Law Firm • **Members Only** Washington, DC

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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

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 shareholders and engaging in business development and...

Corporate - Asset/Investment Management Attorney / Corporate - M&A Attorney / Corporate - General Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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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

for working with SEC-registered investment advisers and private investment... funds, including private equity,... venture capital, real estate, and similar investment vehicles. Key responsibilities include... handling regulatory and compliance matters related to federal securities laws such as the Investment Advisers A...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Aug 11, 26

Full-time 2 views Experience : Min 3 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

asset management corporate transactions criminal enforcement proceedings family federal government Financial Institutions fund formation hedge funds Investment Advisers Act of 1940 Investment Company Act Litigation private equity Securities spectrum white collar

Associate - Corporate - Investment Funds Regulatory Job Responsibilities: The Associate... in the Investment Funds Regulatory Practice will... clients. These clients include investment advisers, family offices, and... other financial institutions on a global scale. The associate will be involved in: - Advising on...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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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

Job Title: Investment Management Associate Attorney (Senior-Level) Job... Represent clients across the investment management industry, with a... firm, with valued regulatory experience with the SEC’s Division of Investment Management. - Demonstrate excellent experience... with registered investment advisers and investment companies,... including registe...

Corporate - Compliance Attorney / Corporate - General Attorney / Corporate - M&A Attorney / Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Government and Government Rel

In-House • **Members Only** Washington, DC

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Posted On Sep 11, 26

Full-time 2 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

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: 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,...

Corporate - Asset/Investment Management Attorney / Corporate - General Attorney / Corporate - Compliance Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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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

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,...

Finance - Financial Services Regulation Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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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

Job Title: Investment Funds, Regulatory Associate Job Responsibilities: -... governing documents - Advise clients on compliance with applicable rules and regulations - Prepare SEC filings - Respond to examinations Education and Experience Information: - 1-3 years of investment funds-related regulatory experience at... a global law firm - S...

Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Washington, DC

Government • **Members Only** Washington, DC

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Posted On Jul 20, 26

Full-time 1 views Experience : Min 2 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General

Job Tags:

Investment Advisers Act of 1940 Securities Act of 1933 securities laws

Title: Attorney - Adviser (Counsel) Job Responsibilities: - Provide legal advice and guidance on federal securities laws, rules, and regulations, with a particular focus on market intermediaries. - Draft and review legal documents, including examination reports, letters, and internal memoranda. - Interpret registration and...

Administrative Law Attorney / Government / Public Law Attorney / Government - General Attorney in Washington, DC

Government • **Members Only** Washington, DC

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Posted On Sep 05, 26

Full-time 8 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

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...

Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Bethesda, MD

In-House • **Members Only** Bethesda, MD

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Posted On Aug 12, 26

Full-time 2 views Experience : Min 12 yrs required

Practice Area:

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

Job Tags:

1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters

the organization. - Identify and evaluate legal and business risks to support strategic decision-making. - Work closely with internal business teams to structure, develop, and launch registered securities offerings, including commodity ETFs and other vehicles registered under the 1933 Act, and...

Attorney in Bethesda, MD

In-House • **Members Only** Bethesda, MD

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Posted On Sep 24, 26

Full-time Experience : Min 5 yrs required

Job Tags:

advertising ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC marketing Mutual Funds Privacy Securities Transportation

Us: Company offers one of the largest lineups of ETFs, with over $100 billion in assets. The company is a leader in strategies such as crypto, dividend growth, interest rate hedged bond, and geared (leveraged and inverse) ETF investing. Company continues...

Registered Funds Associate Attorney

Recruiter • **Members Only** Washington, DC

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Posted On Aug 10, 26

Full-time 87 views Experience : 2-10 yrs required

Practice Area:

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

clients on matters related to registered investment companies, including mutual funds,... ETFs, closed-end funds, interval funds, tender offer funds, and business development companies, as well as their trustees and directors. Additionally, they will advise investment advisers on business and... re...

Investment Advisers Act Of 1940 Jobs in Alexandria

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