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Investment Regulation Jobs in Jonesboro

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United States
Posted On Jul 21, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws

defense and compliance oversight for broker-dealers (BD) and registered investment advisers (RIA). - Advise clients... on compliance with laws, rules, and regulations relevant to BD and RIA entities. - Draft and review compliance documents such as Form ADV, Standard Operating Procedures (...

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Posted On Jul 29, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General Corporate - M&A Corporate - Private Equity Corporate - Compliance
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General Corporate - M&A Corporate - Private Equity Corporate - Compliance
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

counsel on prudential banking regulation, corporate activities, investments, affiliate... transactions, and new products and services, including innovative products such as stablecoins and digital assets. - Collaborate with business leaders, risk management, compliance, government relations, and law division subject matter experts to...

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Posted On Sep 11, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Regulatory Counsel will be responsible for providing legal advice and strategic counsel on a wide range of matters involving prudential banking regulation, corporate activities, investments, affiliate... transactions, and new products and services, including innovative products or money movement solutions suc...

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Posted On Jul 15, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - M&A Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements data privacy Data Protection Energy Insurance Intellectual Property Litigation partnerships Privacy Software
Practice Area:
Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - M&A Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements data privacy Data Protection Energy Insurance Intellectual Property Litigation partnerships Privacy Software

Title: Corporate Counsel Job Responsibilities: - Provide strategic legal guidance to business leaders and stakeholders on complex legal, regulatory, risk, compliance, commercial, product, and operational matters impacting the company's Platforms & Integrated business, including embedded payments and payment facilitator offerings. - Draft, review,...

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Posted On Sep 17, 26
Full-time 4 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
asset management children contracts EEOC finance investment management Privacy Software
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
asset management children contracts EEOC finance investment management Privacy Software

Title: Associate, Client Contracting Job Responsibilities: - Oversee the contracting process from the initial drafting stage through negotiation and execution for a specific portfolio of business, ensuring client expectations are met. - Manage a client channel, supervise the book of work for that...

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Posted On Sep 18, 26
Full-time 1 views Experience : 6-10 yrs required
Practice Area:
Corporate - Asset/Investment Management ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fraud fund formation Insurance investment management pension special projects trusts
Practice Area:
Corporate - Asset/Investment Management ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fraud fund formation Insurance investment management pension special projects trusts

Management Job Responsibilities - Support investment advisory activities across various... accounts, private funds, collective investment trusts (CITs), separately managed... commingled funds, and pension and retirement-related investment products. - Support strategic investment... transactions, including structured investments,... direct investments, and co-investments, from due diligenc...

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Posted On Sep 21, 26
Full-time Experience : 6-12 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts

Asset Management Job Responsibilities: - Support investment advisory activities across various... company general accounts, private funds, collective investment trusts (CITs), separately managed... accounts, commingled funds, and pension and retirement-related investment products. - Facilitate strategic investment... transactions, including structured investments,... direct investments, and co-investme...

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Posted On Sep 21, 26
Full-time 2 views Experience : 6-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets ERISA - General
Job Tags:
agreements asset management children EEOC emerging technologies ERISA family fiduciary finance Investment Advisers Act of 1940 investment management pension plans Privacy securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets ERISA - General
Job Tags:
agreements asset management children EEOC emerging technologies ERISA family fiduciary finance Investment Advisers Act of 1940 investment management pension plans Privacy securities laws

range of legal issues related to the provision of investment management services. - Advise business... partners on complex legal issues across multiple asset classes, investment strategies, and client types. -... Negotiate agreements governing the company's asset management services for institutional clients. - Pr...

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Posted On Jul 21, 26
Full-time 1 views Experience : Min 5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
acquisitions agreements Ethics fiduciary Financial Services Law Investment Advisers Act of 1940 investment management marketing mergers securities laws
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
acquisitions agreements Ethics fiduciary Financial Services Law Investment Advisers Act of 1940 investment management marketing mergers securities laws

to SEC and state-registered investment advisers on a range... of regulatory, compliance, and operational matters. Interpret and apply federal and state securities laws, regulations, and guidance. Offer legal analysis regarding fiduciary obligations, conflicts of interest, disclosures, and compliance programs. Draft...

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Posted On Aug 14, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Finance - Structured Finance Finance - General
Job Tags:
agreements Code of Conduct Corporate Law derivatives employee benefits equity family finance Insurance Investment Regulation lending mortgage loans private equity special projects
Practice Area:
Finance - Structured Finance Finance - General
Job Tags:
agreements Code of Conduct Corporate Law derivatives employee benefits equity family finance Insurance Investment Regulation lending mortgage loans private equity special projects

legal advisor to the Investment Department and related business... partners on investment matters affecting the enterprise,... including private debt and equity investments, commercial mortgage loans, public bonds, derivatives transactions, tax credits, and related insurance company investment activities. - Lead the......

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Posted On Aug 07, 26
Full-time 1 views Experience : 6-12 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts

institutional asset management platform, working closely with investment portfolio managers, product teams,... client onboarding teams, and business leaders. - Support investment advisory activities for various... platforms including insurance company general accounts, private funds, collective investment trusts (CITs), separately managed... accounts, commin...

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Posted On Aug 30, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - M&A Corporate - Contract Law Tax - M&A and Transactions Tax - Federal Tax - State & Local Energy - Renewables - Transactional Corporate - General Tax - General Energy and Oil & Gas - General
Job Tags:
agreements Americans with Disabilities Act Battery Energy energy tax credits equity Harassment Insurance insurance coverage ITC Litigation LLC M&A Partnership project development
Practice Area:
Corporate - M&A Corporate - Contract Law Tax - M&A and Transactions Tax - Federal Tax - State & Local Energy - Renewables - Transactional Corporate - General Tax - General Energy and Oil & Gas - General
Job Tags:
agreements Americans with Disabilities Act Battery Energy energy tax credits equity Harassment Insurance insurance coverage ITC Litigation LLC M&A Partnership project development

Title: Mid-Level Energy and Transactional Tax Associate to Counsel Job Responsibilities: The Mid-Level Energy and Transactional Tax Associate to Counsel role involves working within the law firm's nationally recognized Tax practice, focusing on renewable energy transactions and federal tax credit monetization...

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Posted On Jul 22, 26
Full-time 3 views Experience : Min 9 yrs required
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions agreements antitrust asset purchase agreements Collective Bargaining confidentiality agreements corporate governance corporate transactions Disability Benefits divestitures due diligence equity fiduciary finance information technology Insurance Intellectual Property Joint Ventures letters of intent Litigation M&A mergers Partnership private equity regulatory compliance
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions agreements antitrust asset purchase agreements Collective Bargaining confidentiality agreements corporate governance corporate transactions Disability Benefits divestitures due diligence equity fiduciary finance information technology Insurance Intellectual Property Joint Ventures letters of intent Litigation M&A mergers Partnership private equity regulatory compliance

Title: Associate General Counsel - Mergers & Acquisitions Job Responsibilities: The Associate General Counsel - Mergers & Acquisitions at the company is tasked with overseeing the legal dimensions of the entire transaction lifecycle. This includes activities from the initial structuring and term...

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Posted On Sep 01, 26
Full-time 5 views Experience : 1-3 yrs required
Practice Area:
Corporate - M&A Corporate - General Energy - Renewables - Transactional Energy and Oil & Gas - Transactional Energy and Oil & Gas - General
Job Tags:
contracts corporate transactions developers Energy equity Financial Institutions Insurance Joint Ventures M&A Mergers and Acquisitions project development project finance trials
Practice Area:
Corporate - M&A Corporate - General Energy - Renewables - Transactional Energy and Oil & Gas - Transactional Energy and Oil & Gas - General
Job Tags:
contracts corporate transactions developers Energy equity Financial Institutions Insurance Joint Ventures M&A Mergers and Acquisitions project development project finance trials

Title Corporate Energy Associate (Multi-Office) Job Responsibilities The Corporate Energy Associate will undertake various responsibilities, which may vary based on the level of experience and specific practice group. Key responsibilities include: - Legal Research: Conduct thorough and comprehensive legal research and analysis to support...

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Posted On Sep 22, 26
Full-time 15 views Experience : Min 3 yrs required
Job Tags:
finance Software Taxation trusts
Job Tags:
finance Software Taxation trusts

Title: Tax Manager - High-net-worth Job Responsibilities: - Client Relationship Management: The Tax Manager is responsible for developing and maintaining strong relationships with clients. This involves providing personalized tax planning and compliance services aimed at building long-term wealth, ensuring high levels of...

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Posted On Sep 22, 26
Full-time 21 views Experience : 8-15 yrs required
Job Tags:
finance Software Taxation trusts
Job Tags:
finance Software Taxation trusts

Title: Tax Managing Director - Premier Wealth Job Responsibilities: - Design and implement the overall strategy for the premier wealth tax practice, including service offerings, pricing models, and growth targets. - Build and lead a dedicated team of tax professionals, focusing on strategies...

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Posted On Sep 10, 26
Full-time 4 views Experience : 5-8 yrs required
Job Tags:
asset management company policies criminal Energy family Insurance private equity
Job Tags:
asset management company policies criminal Energy family Insurance private equity

Participate in multi-state alternative investment firms (hedge fund, fund... as part of a multi-disciplinary team helping to provide subject matter/alternative investment industry knowledge and experience.... - Review information presented on state income tax returns before, during, and after preparation....

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Posted On Aug 11, 26
Full-time 83 views Experience : 2-13 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Practice Area:
Corporate - Securities and Capital Markets

law firm in Atlanta is seeking a Mid-level Capital Markets Associate Attorney to join its team. The ideal candidate will have 3-7 years of experience in securities and capital markets transactions, with a strong background in representing public company issuers....

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