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Investment Company Act Jobs in Cornelius

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United States
Posted On Sep 16, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
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
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

controls related to Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the company's alternative investments platform, including... compliance analysis and advice related to brokerage and investment advisory business. - Draft, review,... and revise agreements with alternative inv...

Posted On Sep 16, 26
Full-time 3 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Securities and Capital Markets Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Securities and Capital Markets Corporate - Compliance
Job Tags:
corporate governance Corporate Law directors fiduciary Investment Advisers Act of 1940 investment management special projects Visa

Title: Associate General Counsel, Fund Governance Job Responsibilities: - Acts as a strategic legal advisor on corporate governance matters, providing practical advice to trustees, directors, senior executives, and other stakeholders regarding applicable legal requirements, fiduciary obligations, governance practices, and board processes. - Hires,...

Posted On Sep 17, 26
Full-time 2 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management 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 - 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

including annual updates and supplements, and other disclosure documents required by the Investment Company Act of 1940... ("1940 Act"), Securities Act of 1933,... and the Securities Exchange Act of 1934. - Solicit... and coordinate input to disclosure documents from b...

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

and Private 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 a range of...

Posted On Jun 26, 26
Full-time 8 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General 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:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General 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... to the Wealth and Investment Management (WIM) division, specifically... the distribution of registered investment companies and private investment... funds. The responsibilities include:... - Advising on the distribution of mutual funds, ETFs,...

Posted On Jul 07, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa

Fund Distribution (Wealth & Investment Management) Job Responsibilities: - Advise on... the distribution of mutual funds, ETFs, and other registered products, ensuring compliance with FINRA rules and SEC regulations. - Provide legal support for the distribution of private funds, including private placements under...

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

are required by the Investment Company Act of 1940,... the Securities Act of 1933, and the... Securities Exchange Act of 1934. - Solicit and... coordinate input to disclosure documents from various business lines,...

Posted On Sep 14, 26
Full-time 3 views Experience : 3-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws

to financial services firms, asset managers, and investment funds. - Duties include advising... on a variety of fund structures and regulatory matters, such as cross-border registration, regulatory examinations and enforcement, broker-dealer issues, and matters involving blockchain and digital assets. - The assoc...

Posted On Aug 20, 26
Full-time 4 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

legal support for the company's financial services business, including... to the brokerage and investment advisory business. - Collaborate... with a senior attorney on internal merger and acquisition projects, supporting conversions, and serving as a legal advisor to the business, com...

Posted On Aug 25, 26
Full-time 2 views Experience : 4-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements fund formation private equity Securities
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
agreements fund formation private equity Securities

Job Title: Investment Funds Mid-Level Associate Job Responsibilities: -... Assist private equity fund sponsors on fund formation matters, including the preparation and negotiation of fund private placement memoranda, partnership agreements, and related ancillary agreements. - Review fund documentation on behalf of institutional investors...

Posted On Sep 02, 26
Full-time 72 views Experience : 4-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
fund formation hedge funds investment management private equity Venture Capital
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
fund formation hedge funds investment management private equity Venture Capital

Law Firm Seeking Investment Funds Associates in New... highly qualified and experienced Investment Funds Associate to join... a strong background in investment management and fund formation,... with a minimum of 4-7 years of experience. As a member of our dynamic...

Posted On Sep 08, 26
Full-time 14 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

legal support for the company's financial services business, offering... compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities. - Review,... revise, and develop internal policies and procedures in response to business initiatives and regulatory developments...

Posted On Sep 17, 26
Full-time 3 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

legal support for the company's asset management business. Key... frameworks such as Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA, and... state securities... laws. - Monitoring regulatory developments across derivatives, trading, and advisory, and assessing their impact on business practi...

Posted On Sep 17, 26
Full-time 4 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

legal support for the company's asset management business. - Advise... SEC and CFTC rules, Investment Advisers Act, FINRA and... state securities... laws. - Monitor regulatory developments across derivatives, trading, and advisory and assess their impact on business practices and documentation. - Provide guidance...

Posted On Sep 14, 26
Full-time 2 views Experience : 7-15 yrs required
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Asset/Investment Management Corporate - General Corporate - Compliance Corporate - Securities and Capital Markets
Job Tags:
agreements banking corporate governance corporate transactions Government IP Litigation M&A private equity regulatory compliance shareholders
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Asset/Investment Management Corporate - General Corporate - Compliance Corporate - Securities and Capital Markets
Job Tags:
agreements banking corporate governance corporate transactions Government IP Litigation M&A private equity regulatory compliance shareholders

Title: Attorney - Corporate M&A Transactions and Global Strategic and Sustainable Investments Job Responsibilities: - Provide legal counsel on Corporate M&A and GSSI transactions, including purchases, investments, sales, and wind-downs of businesses. - Coordinate with Corporate M&A and GSSI teams across various...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

the Technology Companies Group at the law firm. The key responsibilities include: - Assisting attorneys with the formation and structuring of private investment funds, such as limited... partnerships and limited liability companies. - Drafting, reviewing, and organizing fund formation documents, amendments, c...

Posted On Aug 26, 26
Full-time 1 views Experience : 2-11 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General

law firm seeks an Investment Funds Mid-Level Associate for... their Charlotte, NC office. The ideal candidate will have 4-6 years of experience in private equity fund formation and related private equity fund sponsors with fund formation, including preparing and...

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