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Investment Advisers Act Of 1940 Jobs in Powder Springs

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United States
Posted On Jul 29, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General Corporate - M&A Corporate - Private Equity Corporate - Compliance
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 - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General Corporate - M&A Corporate - Private Equity Corporate - Compliance
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: Attorney - Operations, Technology and Regulatory Team Job Responsibilities: - Provide legal advice and strategic counsel on prudential banking regulation, corporate activities, investments, affiliate transactions, and new products and services, including innovative products such as stablecoins and digital assets. - Collaborate with...

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Posted On Jul 21, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws

defense and compliance oversight for broker-dealers (BD) and registered investment advisers (RIA). - Advise clients... on compliance with laws, rules, and regulations relevant to BD and RIA entities. - Draft and review compliance documents such as Form ADV, Standard Operating Procedures (...

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Posted On Sep 21, 26
Full-time 2 views Experience : 6-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets ERISA - General
Job Tags:
agreements asset management children EEOC emerging technologies ERISA family fiduciary finance Investment Advisers Act of 1940 investment management pension plans Privacy securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets ERISA - General
Job Tags:
agreements asset management children EEOC emerging technologies ERISA family fiduciary finance Investment Advisers Act of 1940 investment management pension plans Privacy securities laws

range of legal issues related to the provision of investment management services. - Advise business... partners on complex legal issues across multiple asset classes, investment strategies, and client types. -... Negotiate agreements governing the company's asset management services for institutional clients. - Pr...

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Posted On Sep 30, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A Corporate - Compliance Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - General Corporate - Contract Law Finance - Financial Services Regulation Government Contracts Government and Government Relations 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
Practice Area:
Corporate - M&A Corporate - Compliance Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - General Corporate - Contract Law Finance - Financial Services Regulation Government Contracts Government and Government Relations 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

Enterprise Advisory: - Provide legal counsel on 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...

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Posted On Jul 21, 26
Full-time 1 views Experience : Min 5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
acquisitions agreements Ethics fiduciary Financial Services Law Investment Advisers Act of 1940 investment management marketing mergers securities laws
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
acquisitions agreements Ethics fiduciary Financial Services Law Investment Advisers Act of 1940 investment management marketing mergers securities laws

to SEC and state-registered investment advisers on a range... of regulatory, compliance, and operational matters. Interpret and apply federal and state securities laws, regulations, and guidance. Offer legal analysis regarding fiduciary obligations, conflicts of interest, disclosures, and compliance programs. Draft...

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