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Investment Advisers Act Of 1940 Jobs in Roxbury

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United States
Posted On Aug 21, 26
Full-time 3 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
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

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, FINRA, NFA, and CFTC rulemaking on an ongoing basis and translate regulatory developments...

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Posted On Sep 08, 26
Full-time 7 views Experience : 10-15 yrs required
Job Tags:
Affirmative Action AML Broker Dealer due diligence equity Money Laundering Securities Act of 1933
Job Tags:
Affirmative Action AML Broker Dealer due diligence equity Money Laundering Securities Act of 1933

the Role Company is seeking a Vice President to join its Regulatory and Compliance team. The candidate will collaborate with senior Compliance team members to ensure adherence to AML regulatory requirements in the United States and other regions where Company...

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Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

focusing on the Alternative Investments and Private Markets platforms. Key responsibilities include: - Advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products... and private securities transactions. - Handling complex products and trans...

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Posted On Sep 18, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

ongoing support of alternative investment and private markets products... and private securities transactions. The role involves: - Advising on complex products and transactions involving alternative investment funds, feeder funds, private... equity, privat...

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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

Legal Counsel Asset Management The candidate will work with all different control functions, investment, and marketing teams, and... the affiliates who distribute Asset Management investment funds and managed accounts.... Support the investment teams with transactions. Work... with a team of lawyers dedicated to supporting the business. Work closely with the business and control functions as well as with outside counsel to support and review all the activities in the Americas region.... 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

Legal Counsel Asset Management The candidate will work with all different control functions, investment, and marketing teams, and... the affiliates who distribute Asset Management investment funds and managed accounts.... Support the investment teams with transactions. Work... with a team of lawyers dedicated to supporting the business. Work closely with the business and control functions as well as with outside counsel to support and review all activities in the Americas region. Sho... 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

Legal Counsel Asset Management The candidate will work with all different control functions, investment and marketing teams, and... 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

Legal Counsel Asset Management The candidate will work with all different control functions, investment and marketing teams, and... 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

Private Funds Attorney The candidate will provide advice on the formation, structuring and marketing/distribution of open-end and closed-end funds and special purpose vehicles across various jurisdictions. Prepare, review and negotiate fund offering documents and side letters as well as agreements with service providers, including administrators, custodians and placement agents. Partner with internal stakeholders, including investment, finance and administration, tax,... compli... 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

Legal Counsel Asset Management The candidate will work with all different control functions, and investment and marketing teams and... 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

Investment Management Securities Attorney The... candidate should be admitted to the New York or Connecticut Bar and in good standing. Must have 10+ years of legal experience. Should have expertise in federal securities laws, including the Investment Advisers Act of 1940,... and the '33 and '34 Acts. Must have extensive, hands-on experience with hedge fund formation and related documentation, and with negotiating and drafting investment advisory agreements and confidentiality... agre... 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

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

Securities Attorney The candidate must have 8+ years of legal experience. Should have expertise in the Investment Advisers Act of 1940,... Investment Company Act of 1940,... Dodd-Frank Act, and/or '33 and '34... Acts. Experience working in a large financial institution preferred. Large law firm and in-house experience required. Should be admitted to practice law in New York and/or Connecticut and in good standing.... 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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