Legal Investment Company Act Jobs Jobs in Jersey City, NJ

Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Jersey City, NJ

Law Firm • **Members Only** Jersey City, NJ

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Posted On Sep 04, 26

Full-time 7 views Experience : Min 5 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking

vehicles. - Assist with project management and fund formation matters and participate in product development of various investment structures across multiple jurisdictions. -... Participate in the creation and management of registered fund board materials. - Manage regulatory filings such as 8-Ks, 10-Q/Ks, Form...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Finance - Financial Services Regulation Attorney / Corporate - General Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Sep 23, 26

Full-time 8 views Experience : Min 5 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General

Job Tags:

Capital Markets Domestic Violence equity ERISA finance fund formation growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking

Legal Group at the company is situated in a... dynamic and fast-growing business environment, focusing primarily on registered funds and Business Development Companies (BDCs) within the Private Wealth Group. The attorney will handle a range of legal and general corporate...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Aug 03, 26

Full-time 2 views Experience : 5-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

Privacy Women

General Counsel - Registered Investment Advisor Job Responsibilities: The Assistant General... Counsel for a Registered Investment Advisor at the company... support to the company's investment advisory services. This role... strategic legal guidance to support the business objectives of the company's investment adviso...

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Corporate - Asset/Investment Management Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Sep 23, 26

Full-time 8 views Experience : Min 8 yrs required

Practice Area:

Corporate - Asset/Investment Management

Job Tags:

Domestic Violence due diligence equity FINRA growth equity health benefits hedge funds Insurance investment management life sciences marketing Partnership private equity regulatory compliance Securities stalking

Title: Marketing & Distribution Compliance, VP Job Responsibilities: The Marketing & Distribution Compliance, VP is a pivotal role within the compliance team, focusing on regulatory compliance issues related to marketing and other investor/third-party materials and communications. The VP is tasked with serving...

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Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Jersey City, NJ

Law Firm • **Members Only** Jersey City, NJ

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Posted On Sep 04, 26

Full-time 4 views Experience : Min 7 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General

Job Tags:

40 Act agreements Capital Markets corporate governance Domestic Violence equity ERISA finance growth equity health benefits Insurance investment management life sciences marketing Partnership private equity Securities stalking

prospectuses under the ’33 Act and private placement memoranda. -... Prepare and review ’34 Act filings including Forms 10-K,... 10-Q, 8-K, and Section 16 filings, and manage the annual meeting proxy process. - Liaise with management and outside counsel on all aspects...

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Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Sep 11, 26

Full-time 1 views Experience : Min 6 yrs required

Job Tags:

artificial intelligence criminal emerging technologies Financial Institutions Immigration Intellectual Property Media regulatory compliance Software Telecommunications

Compliance Manager Job Title: Product Compliance Manager Job Responsibilities: As a Manager - Regulatory & Compliance on the Enterprise Operations & Risk team, the individual will be responsible for: - Leading regulatory reporting remediation and transformation initiatives, which include requirements analysis, process design, automation,...

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Finance - Financial Services Regulation Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Sep 15, 26

Full-time 2 views Experience : Min 8 yrs required

Practice Area:

Finance - Financial Services Regulation

Job Tags:

asset management banking equity finance Financial Institutions FINRA Government Investment Banking licensing marketing regulatory compliance securities laws special projects UDAAP wealth management

Title: Assistant General Counsel - Wealth Management - Vice President Job Responsibilities: - Serve as a primary legal contact supporting the company’s wealth management bank-based sales channel for the retail investment business. - Act as legal... counsel for banking products distributed through the...

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Attorney in Jersey City, NJ

In-House • **Members Only** Jersey City, NJ

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Posted On Sep 07, 26

Full-time 1 views Experience : Min 4 yrs required

Job Tags:

artificial intelligence criminal emerging technologies Financial Institutions Immigration Media regulatory compliance Software Telecommunications

Title** Product Compliance Senior Consultant **Job Responsibilities** As a Senior Consultant in Regulatory & Compliance for the Enterprise Operations & Risk team, your primary responsibilities include: - Supporting regulatory reporting remediation and transformation initiatives, which involve requirements analysis, process design,...

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Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Aug 20, 26

Full-time 1 views Experience : 2-10 yrs required

Job Tags:

Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. Key...

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Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 08, 26

Full-time 1 views Experience : Min 6 yrs required

Job Tags:

Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Analyst, Dispute Resolution Services Training Job Responsibilities: The Principal Analyst in the Dispute Resolution Services Training department is tasked with the development, maintenance, and updating of training modules for various regional job categories within the Dispute Resolution Services (DRS). The...

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Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 08, 26

Full-time 1 views Experience : Min 12 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and drive intelligence-led initiatives with measurable impact across the...

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Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 22, 26

Full-time Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for leading proactive regulatory risk assessments and developing regulatory strategies. The role involves conducting continuous qualitative research into market conditions and developments and managing an analyst...

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Attorney in Hoboken, NJ

In-House • **Members Only** Hoboken, NJ

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Posted On Sep 22, 26

Full-time 1 views Experience : Min 5 yrs required

Job Tags:

banking Capital Markets Estate Planning family finance investment management Partnership partnerships pension Software spectrum trusts

their financial, social, and human capital. - Manage various responsibilities, including consulting and advising high-net-worth individuals. - Review family office governance, operations, and technology systems, decisions, and processes through interviews with key personnel, external advisors, and family members. - Act as a...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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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

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 ......

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Legal Staff Paralegal in New York City, NY

In-House • **Members Only** New York City, NY

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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

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...

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Legal Staff Paralegal in New York City, NY

In-House • **Members Only** New York City, NY

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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

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...

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Corporate - Asset/Investment Management Attorney / Trusts and Estates - General Attorney / Estate & Tax Planning Attorney / ERISA/Executive Compensation Transactions & Compliance Attorney / ERISA - General Attorney / Corporate - General Attorney in New Yo

In-House • **Members Only** New York City, NY

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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

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...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

In-House • **Members Only** New York City, NY

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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

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...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in New York City, NY

Government • **Members Only** New York City, NY

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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

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...

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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in New York City, NY

Law Firm • **Members Only** New York City, NY

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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

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......

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