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Investment Advisers Act Of 1940 Jobs in Meadow Brook

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United States
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
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

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 impacting trust, fiduciary, brokerage, and investment management services. - Ensuring regulatory... compliance with OCC fiduciary regu...

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Corporate Associate The candidate must have 3-5 years of experience. Should preferably have a general corporate background with specific experience advising investment management companies, assisting with... fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940... and Investment Company Act of 1940,... as wel... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Corporate Associate The candidate must have 3-5 years of experience. Have a general corporate background with specific experience advising investment management companies, assisting with... fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940... and Investment Company Act of 1940,... as well as other... relevan... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Operational Risk Manager IV The candidate will lead a team to implement and monitor all risk architecture and investment oversight activities, including new... product and distribution reporting as a dedicated risk officer. Assist in numerous projects and integration of new developments into the organization. Develop and integrate risk analysis and reporting into a global investment management company with multiple... legal entities. Manage new initiatives during development phase... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Counsel 4 - Asset Management The candidate will be a senior level attorney providing key legal support for a highly complex portfolio management and trading function across several legal entities, multiple product lines and distribution channels. Provide legal counsel on all aspects of the investment advisory business, with a... focus on portfolio management, trading, institutional client marketing and sales, product development, investment structuring and operational and... regul... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

4 The candidate to join the team of attorneys supporting the business within firm. Will provide legal counsel on all aspects of the mutual fund business, including overseeing the legal support for a complex of mutual funds, including creation, management and termination of funds, support of the mutual board, and regulatory items related to management of a mutual fund complex. Provide substantive and practical legal advice on the application of a variety of laws and r... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Operational Compliance Manager - Compliance Manager IV The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operatio... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Operational Compliance Manager - Compliance Manager IV The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operatio... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Vice President - Commercial Banking The candidate will advise business partners at various levels of the organization, drafting and reviewing contracts, disclosures and client communications, responding to customer inquiries and answering general questions about WMS products and services. Must have 5-10 years of relevant experience. Should preferably be familiar with US banking regulations and the private wealth management industry. Knowledge of ERISA, consumer fina... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Counsel IV - WIM Division - Trust Services The candidate will provide legal support to the Trust Services line of business in the Banking Lending and Trust Center of Excellence to support investment management activity; specifically with... respect to utilization and monitoring of investment products in fiduciary accounts.... Will provide guidance to senior management and governance committees on complex legal and regulatory matters with significant impact on business initiatives,... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

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