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Investment Advisers Act Of 1940 Jobs in Tewksbury

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United States
Posted On Aug 11, 26
Full-time Experience : Min 15 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
asset management contracts ERISA family fiduciary FINRA Investment Advisers Act of 1940 Mutual Funds securities laws wealth management
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
asset management contracts ERISA family fiduciary FINRA Investment Advisers Act of 1940 Mutual Funds securities laws wealth management

Title: Senior Associate General Counsel Job Responsibilities: The Senior Associate General Counsel will support multiple business lines within the company, focusing primarily on retirement plans. The key job responsibilities include acting as the primary legal counsel in the subject matter of asset...

Posted On Sep 03, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Investment Advisers Act of 1940
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Investment Advisers Act of 1940

Job Title: Investment Funds - Associate Job Responsibilities: -... Drafting disclosure documents for investment funds. - Negotiating investment management... applicable regulations, including the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... years of experience in investment fund formation and regulation. -......

Posted On Sep 01, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

platform, ensuring compliance with applicable rules, regulations, and assessing legal risks related to the brokerage and investment advisory business. - Draft,... review, and revise agreements with alternative investment sponsors for onboarding products... onto the company's alternative investments platform. - Cou...

Posted On Jul 07, 26
Full-time 10 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management

wealth management, trust, fiduciary, investment advisory, and brokerage business... units. - Interpret and apply fiduciary principles and duties to ensure compliance with relevant laws and regulations. - Offer advice on advisory and brokerage service models, focusing on regulatory requirements. - Review and draft...

Posted On Jul 13, 26
Full-time 2 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML asset management employee benefits equity ERISA ETFs Investment Advisers Act of 1940 investment management Litigation Securities Securities Act of 1933 wealth management

on legal matters. - Assist business units in structuring and launching new registered and unregistered products. - Review and prepare registration statements, PPMs, related documents, proxy materials, and documentation for business transactions involving company funds. - Negotiate various agreements, including investment advisory, manage...

Posted On Jul 13, 26
Full-time 6 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933

relation to fundraising, marketing activities, and compliance requirements. Key responsibilities encompass a wide range of activities within the department's Private Side business, including: - Advising on the formation and management of complex fund structures such as 3c7, 3c5, 34 Act registered...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management

Job Title Investment Management Attorney Job Responsibilities... As an Investment Management Attorney, you will... primary responsibilities include providing legal coverage to the department's Solutions and Multi-Assets businesses across various strategies and products like separate accounts, private funds, 1940 Act r...

Posted On Jul 23, 26
Full-time 3 views Experience : 6-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act contracts equity Investment Advisers Act of 1940 investment management Mutual Funds registered investment companies special projects
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act contracts equity Investment Advisers Act of 1940 investment management Mutual Funds registered investment companies special projects

Job Title: Counsel - Investment Management Job Responsibilities: - Provide legal... counsel for significant and strategic regulatory initiatives and ongoing operations, including complex regulatory-related processes, policies, and procedures. - Review, monitor, and resolve legal and regulatory issues related to assigned matters and other...

Posted On Aug 20, 26
Full-time 1 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

advice regarding applicable rules, regulations, and legal risks related to brokerage and investment advisory businesses. - Collaborate... with a senior attorney on internal merger and acquisition projects, supporting conversions, and serving as a legal advisor to the business, compliance, op...

Posted On Sep 03, 26
Full-time 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 within the investment management industry, providing legal... issues. - Work with registered investment advisers and investment companies,... and other SEC-registered products. - Draft key corporate governance documents for registered advisers and registered invest...

Posted On Aug 28, 26
Full-time 5 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

ongoing controls of Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the alternative investments platform, ensuring compliance with applicable rules, regulations, and legal risks in brokerage and investment advisory. - Draft, review, and... revise agreements with altern...

Posted On Sep 23, 26
Full-time Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
family fund formation Investment Advisers Act of 1940 private equity Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
family fund formation Investment Advisers Act of 1940 private equity Securities Securities Act of 1933

Equity and Real Estate Investment Fund Formation Job Responsibilities: - Assist... Securities Act of 1933, Investment Advisers Act of 1940,... and Investment Company Act of 1940. -... Represent venture capitalists, private... equity firms, hedge fund managers, and family offices in various transactions. - Handle...

Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management registered investment companies securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management registered investment companies securities laws

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager will work with members of the General Counsel’s Organization in supporting the Columbia Management investment advisor and Columbia Threadneedle... Investments business. Key responsibilities include: - Providing legal and regulatory support for Columbia...

Posted On Jun 26, 26
Full-time 7 views Experience : Min 4 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior Counsel... aspects of distributing registered investment companies and private investment... funds within the Wealth... and Investment Management division. Key responsibilities... include: - Advising on the distribution of mutual funds, ETFs, and other registered...

Posted On Jul 28, 26
Full-time 1 views Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

Title: Senior Compliance Officer Job Responsibilities: The Senior Compliance Officer will play a crucial role in supporting the company's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies....

Posted On Jul 20, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Employment Law - Litigation Employer Defense Litigation - Commercial Litigation - eDiscovery General Litigation - Document Review Employment Law - Management (Compliance & Counseling) Employment Law - General Employment Law - Wage and Hour
Job Tags:
criminal ERISA FINRA Immigration Investment Advisers Act of 1940 Litigation Securities Securities Exchange Act of 1934
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Employment Law - Litigation Employer Defense Litigation - Commercial Litigation - eDiscovery General Litigation - Document Review Employment Law - Management (Compliance & Counseling) Employment Law - General Employment Law - Wage and Hour
Job Tags:
criminal ERISA FINRA Immigration Investment Advisers Act of 1940 Litigation Securities Securities Exchange Act of 1934

Title: Paralegal Job Responsibilities: As a paralegal in the company's Legal Department, you will be part of a centralized team supporting Litigation, Regulatory, and Employment attorneys across a broad range of matters, including litigation, arbitration, regulatory inquiries, and employment disputes....

Posted On Aug 10, 26
Full-time 93 views Experience : 2-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management

to clients on matters pertaining 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. This role involves collaborating with clients, internal teams, a...

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