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Investment Advisers Act Of 1940 Jobs in Dunkirk

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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

one or more registered investment advisers that manage private... credit funds and other investment vehicles, including certain funds... registered under the Investment Company Act of 1940. -... matters related to the Investment Advisers Act of 1940,... including governance, fiduciary obligations,... disclosures,...

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

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...

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

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...

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
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...

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

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...

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 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

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...

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
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...

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

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 strategic initiatives. - Assist with regulatory approvals, applications, notices, and filings involving new activi...

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 Aug 18, 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

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...

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