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Investment Company Act Jobs in Brooklyn

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United States
Posted On Sep 23, 26
Full-time 15 views Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management

compliance support for the company's . broker-dealer, ensuring adherence... to relevant regulatory requirements. - Draft, review, and negotiate a wide range of agreements related to fund distribution, service providers, platform relationships, and operations. - Advise internal stakeholders on complex legal,...

Posted On Sep 14, 26
Full-time 21 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management contracts ERISA finance hedge funds Investment Company Act investment management marketing private equity special projects spectrum Transportation wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management contracts ERISA finance hedge funds Investment Company Act investment management marketing private equity special projects spectrum Transportation wealth management

Job Title: Global Alternatives Investment Solutions Assistant General Counsel Job... to the Global Alternative Investment Solutions businesses within the... company, focusing on hedge fund... types, including open and closed-ended hedge funds-of-funds, private credit funds-of-funds, registered alternative investment funds, separately managed ......

Posted On Jul 03, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements contracts derivatives due diligence equity ETFs Insurance Investment Company Act investment management ISDA Litigation Mutual Funds pension Profit Sharing Software special projects wealth management
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements contracts derivatives due diligence equity ETFs Insurance Investment Company Act investment management ISDA Litigation Mutual Funds pension Profit Sharing Software special projects wealth management

Legal Department of the company. This role involves handling... duties related to the Investment Company Act. The Senior... Paralegal... a dynamic and innovative environment, providing paralegal support across all investment management-related areas of the... company. Key responsibilities include: - Drafting... an...

Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

Columbia Threadneedle Investments registered investment companies. Under the guidance... the Legal Affairs Manager will be responsible for performing ongoing legal and regulatory activities related to the registered investment companies. The role involves... coordinating the creation, updating, and filing of re...

Posted On Jul 14, 26
Full-time 3 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - 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:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - 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

Management Division of the company. The primary responsibilities include: -... legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses. ... - Interpretation and application of fiduciary principles and duties. - Advising on advisory and brokerage service models and rela...

Posted On Jul 21, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements Collective Bargaining contracts directors Insurance investment management marketing Mutual Funds Privacy
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements Collective Bargaining contracts directors Insurance investment management marketing Mutual Funds Privacy

Job Title: Investment Management Attorney Job Responsibilities: - Providing... structuring and maintaining registered investment vehicles, including the preparation... and ongoing review of registration statements. - Advising various internal business clients, such as portfolio managers, marketing, and sales personnel, on legal and regulatory matters...

Posted On Jul 30, 26
Full-time 1 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
contracts criminal Ethics evidence federal government Insurance Investment Company Act investment management Privacy public sector RICO Rule of Law Securities securities laws social security tender offers title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
contracts criminal Ethics evidence federal government Insurance Investment Company Act investment management Privacy public sector RICO Rule of Law Securities securities laws social security tender offers title

Title: Senior Counsel-Investment Management Job Responsibilities: The Senior Counsel-Investment Management serves within the Division of Investment Management and plays a... crucial role in providing legal analysis and guidance on matters affecting investment companies and investment advisers.... The position involves reviewing complex filings...

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: -... disclosure documents related to investment funds. - Negotiating investment management... applicable regulations, including the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... legal issues related to investment fund formation and r......

Posted On Aug 07, 26
Full-time 1 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options

& Regulatory Counsel - Investment Products Job Responsibilities: - Serve as... Mercury Invest, overseeing the investment products portfolio. This includes... advising across the full product life cycle, supporting new feature development, drafting disclosures, working on marketing and customer communications, and advising on...

Posted On Aug 07, 26
Full-time Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options

Title: Legal Advisor for Investment Products Job Responsibilities: - Serve as... Mercury Invest, managing the investment products portfolio. - Advise across... the entire product life cycle, including supporting new feature development, drafting disclosures, and advising on marketing and customer communications. - Collaborate with product,...

Posted On Aug 10, 26
Full-time 1 views Experience : 2-4 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
1940 Act agreements asset management contracts derivatives FLSA ISDA marketing organizational documents registered investment companies securities laws title
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
1940 Act agreements asset management contracts derivatives FLSA ISDA marketing organizational documents registered investment companies securities laws title

legal support for the Company's . registered funds, sub-advisory... separately managed accounts and model-based programs. The role involves close collaboration with senior management and various teams across the Company, including fund administration and... compliance, to address regulatory issues and g...

Posted On Aug 12, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

documents required by the Investment Company Act of 1940,... Securities Act of 1933, and the... Securities Exchange Act of 1934. - Solicit and... coordinate input to disclosure documents from business lines, including product, marketing, fund administr...

Posted On Aug 20, 26
Full-time 3 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Tax - International Tax - General Corporate - General
Job Tags:
AML Capital Markets Domestic Violence Energy equity ERISA finance fund formation growth equity health benefits hedge funds Insurance insurance coverage life sciences Litigation marketing OFAC Partnership private equity regulatory compliance Securities securities laws stalking
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Tax - International Tax - General Corporate - General
Job Tags:
AML Capital Markets Domestic Violence Energy equity ERISA finance fund formation growth equity health benefits hedge funds Insurance insurance coverage life sciences Litigation marketing OFAC Partnership private equity regulatory compliance Securities securities laws stalking

Title: Legal & Compliance - Private Wealth Funds Attorney, VP Job Responsibilities: - Serve as a key legal partner in the design and development of private wealth funds, overseeing projects from initial concept through launch and ongoing operation. - Participate in structuring, designing,...

Posted On Aug 26, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General 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 Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General 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,... as well as private securities transactions. - Handle complex products and transactions involving alternative investment funds, feeder funds, private... equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and...

Posted On Sep 06, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
1940 Act acquisitions asset management branding fund formation Harassment investment management Joint Ventures M&A marketing Partnership Privacy private equity REITs Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
1940 Act acquisitions asset management branding fund formation Harassment investment management Joint Ventures M&A marketing Partnership Privacy private equity REITs Securities Securities Act of 1933

Title Registered Funds Content Lawyer Job Responsibilities - Develop and execute a comprehensive content strategy focused on innovative and complex registered funds products and regulatory developments within the registered funds landscape. - Produce high-quality written content including industry publications, thought...

Posted On Sep 17, 26
Full-time 3 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

The Paralegal at the company will primarily focus on... Columbia Threadneedle Investments registered investment companies. Key responsibilities include:... - Coordinating the creation, updating, and filing of registration statement post-effective amendments containing prospectuses and statements of additional information (SAIs), including annual...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Finance - Structured Finance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
artificial intelligence fund formation hedge funds Insurance investment management lending marketing regulatory compliance securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Finance - Structured Finance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
artificial intelligence fund formation hedge funds Insurance investment management lending marketing regulatory compliance securities laws

in-house legal resource for investment, operations, compliance, and other... regulatory matters involving the Investment Advisers Act, Investment Company... Act of 1940, securities laws,... other requirements applicable to investment managers. - Support the formation,... of private and registered investment funds. - Provide legal su......

Posted On Sep 23, 26
Full-time 2 views Experience : 4-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management

legal support for the company's . registered funds and... collective investment trusts, ensuring compliance with... the Investment Company Act of 1940,... Securities... Act of 1933, Securities Exchange... Act of 1934, and related... SEC rules and regulations. - Advise on the...

Posted On Sep 18, 26
Full-time 146 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management directors ETFs fund formation Investment Advisers Act of 1940 Mergers and Acquisitions Mutual Funds registered investment companies Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management directors ETFs fund formation Investment Advisers Act of 1940 Mergers and Acquisitions Mutual Funds registered investment companies Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

successful candidate may be asked to perform other duties as necessary. Salary Information The salary for this position will be competitive and commensurate with experience. The firm also offers a comprehensive benefits package including medical, dental, vision, and...

Posted On Aug 09, 26
Full-time 101 views Experience : 2-10 yrs required
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management

advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds,... exchange-traded funds (ETFs), closed-end funds, interval funds, tender offer funds, and business development companies, as well as their advisers and directors. This role involves collaborating...

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