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Registered Investment Advisor Jobs in Englewood Cliffs

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United States
Posted On Jul 14, 26
Full-time 1 views Experience : 4-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act agreements artificial intelligence asset management blockchain developers Energy entity formation equity ETFs family finance fund formation hedge funds Investment Advisers Act of 1940 Investment Banking Liquidations ordinances Partnership spectrum
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
40 Act agreements artificial intelligence asset management blockchain developers Energy entity formation equity ETFs family finance fund formation hedge funds Investment Advisers Act of 1940 Investment Banking Liquidations ordinances Partnership spectrum

subscription documentation, and bespoke side letter agreements with limited partners. - Coordinate with external legal counsel, as well as internal portfolio managers and sales teams, on legal diligence, negotiation, and execution of new investment opportunities. - Advise internal stakeholders... on ongoing fu...

Posted On Aug 20, 26
Full-time 3 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets 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 - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

on applicable rules, regulations, and legal risks relating 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, compliance,... operati...

Posted On Aug 28, 26
Full-time 4 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management Corporate - Venture Capital/Emerging Companies Corporate - Private Equity Corporate - Contract Law Corporate - General
Job Tags:
acquisitions agreements asset management contracts corporate governance due diligence entity formation equity finance fund formation investment bankers Joint Ventures lending LLC M&A mergers Mergers and Acquisitions portfolio companies portfolio company private equity regulatory compliance securitization special projects
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management Corporate - Venture Capital/Emerging Companies Corporate - Private Equity Corporate - Contract Law Corporate - General
Job Tags:
acquisitions agreements asset management contracts corporate governance due diligence entity formation equity finance fund formation investment bankers Joint Ventures lending LLC M&A mergers Mergers and Acquisitions portfolio companies portfolio company private equity regulatory compliance securitization special projects

General Counsel Job Description: Company is a leading provider of secured asset-based wholesale financing facilities to US-based specialty finance companies and a buyer of short-term commercial receivables. The company operates through two distinct verticals – **Members Only.** LLC and BasePoint Advisors LLC. Founded...

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... legal support across various fund types, including open and closed-ended hedge funds-of-funds, private credit funds-of-funds, registered alternative investment funds, separately... managed ......

Posted On Aug 28, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
corporate governance due diligence NYSE organizational documents physicians Profit Sharing Registered Investment Advisor SEC filings special projects
Practice Area:
Corporate - Asset/Investment Management Corporate - General Corporate - Compliance
Job Tags:
corporate governance due diligence NYSE organizational documents physicians Profit Sharing Registered Investment Advisor SEC filings special projects

focusing on fund compliance for the company’s registered investment advisor (RIA), holistic... fund platform support, corporate governance matters, and legal operations. Key responsibilities include: - Assisting with administration of the company's RIA’s fund compliance platform, which involves quarterly and annual re...

Posted On Jul 08, 26
Full-time 1 views Experience : Min 7 yrs required
Job Tags:
40 Act corporate governance family fiduciary investment management LLC Registered Investment Advisor special projects
Job Tags:
40 Act corporate governance family fiduciary investment management LLC Registered Investment Advisor special projects

Job Title: Regulatory Associate Investment Management Job Responsibilities: - Learn, understand,... and apply investment management best practices and... fiduciary requirements based on OCC and SEC regulations and expectations. - Support the identification and remediation operational risks within the Investment Management business. - Develop and......

Posted On Aug 25, 26
Full-time 1 views Experience : 5-10 yrs required
Job Tags:
artificial intelligence directors Ethics family finance Financial Institutions FINRA hedge funds Investment Advisers Act of 1940 private equity Securities securities laws special projects spectrum
Job Tags:
artificial intelligence directors Ethics family finance Financial Institutions FINRA hedge funds Investment Advisers Act of 1940 private equity Securities securities laws special projects spectrum

Title: Fractional Compliance Manager (Advisor Network) Job Responsibilities: - Provide expert... advice and guidance to clients on their compliance programs, focusing on Alternative Asset Firms and Family Offices. - Develop realistic and effective monthly action plans for clients. - Identify internal and contextual roadblocks...

Posted On Sep 15, 26
Full-time 2 views Experience : Min 5 yrs required
Job Tags:
asset management family marketing
Job Tags:
asset management family marketing

Development Specialist, Retail / Registered Funds Job Responsibilities: - Drive business... the goals of the Investment Funds Group and related... practice leadership: Serve as a trusted advisor to attorneys and practice... leaders by identifying opportunities, shaping growth strategies, and driving key initiat...

Posted On Jun 30, 26
Full-time 14 views Experience : 2-5 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
agreements bylaws Capital Markets equity Ethics FINRA FLSA initial public offerings LLC NASDAQ NYSE organizational documents secondary offerings Securities stock exchange title
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
agreements bylaws Capital Markets equity Ethics FINRA FLSA initial public offerings LLC NASDAQ NYSE organizational documents secondary offerings Securities stock exchange title

Title: Associate Department/Group: Corporate 34 Act Reports to: Department Head; Equity Partner FLSA Type: Exempt Hours: 40 hours plus; 9:00 am – 6:00 pm Office Attendance: Hybrid; Mandatory 3 days per week inclusive of Monday; additional days in office as required by the law...

Posted On Jul 07, 26
Full-time 20 views Experience : 3-7 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
agreements bylaws Capital Markets corporate governance equity Ethics FINRA FLSA initial public offerings LLC organizational documents secondary offerings Securities stock exchange title
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
agreements bylaws Capital Markets corporate governance equity Ethics FINRA FLSA initial public offerings LLC organizational documents secondary offerings Securities stock exchange title

Title: Associate Department/Group: Corporate SPAC Reports to: Department Head; Equity Partner FLSA Type: Exempt Hours: 40 hours plus; 9:00 am – 6:00 pm Office Attendance: Hybrid; Mandatory 3 days per week inclusive of Monday; additional days in office as required by the law firm...

Posted On Jul 07, 26
Full-time 23 views Experience : 3-7 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
agreements bylaws Capital Markets corporate governance equity Ethics FINRA FLSA initial public offerings LLC organizational documents secondary offerings Securities stock exchange title
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
agreements bylaws Capital Markets corporate governance equity Ethics FINRA FLSA initial public offerings LLC organizational documents secondary offerings Securities stock exchange title

Title: Associate Department/Group: Corporate SPAC Reports to: Department Head; Equity Partner FLSA Type: Exempt Hours: 40 hours plus; 9:00 am – 6:00 pm Office Attendance: Hybrid; Mandatory 3 days per week inclusive of Monday; additional days in office as required by the law firm...

Posted On Jul 27, 26
Full-time 2 views Experience : 5-8 yrs required
Practice Area:
Corporate - Technology Transactions Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - M&A Tax - Federal Tax - General Corporate - General
Job Tags:
agreements asset management blockchain corporate transactions equity finance financial products licensing M&A marketing Money Laundering Partnership partnerships Securities securities laws
Practice Area:
Corporate - Technology Transactions Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - M&A Tax - Federal Tax - General Corporate - General
Job Tags:
agreements asset management blockchain corporate transactions equity finance financial products licensing M&A marketing Money Laundering Partnership partnerships Securities securities laws

Serve as a legal advisor to product and engineering... teams on the development, launch, and operation of blockchain-enabled financial products. - Provide practical legal guidance throughout the product lifecycle, from ideation and design through launch and ongoing operations. - Partner closely with...

Posted On Jun 30, 26
Full-time 9 views Experience : Min 10 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
agreements corporate compliance Cybersecurity data privacy Data Protection ERISA Ethics family fiduciary Partnership Privacy wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
agreements corporate compliance Cybersecurity data privacy Data Protection ERISA Ethics family fiduciary Partnership Privacy wealth management

Title: Data Privacy & Compliance Counsel Job Responsibilities: The Data Privacy & Compliance Counsel at the company is responsible for leading the cybersecurity/data protection/privacy function and overseeing regulatory guidance and requirements applicable to the business. Reporting directly to the General Counsel,...

Posted On Sep 21, 26
Full-time 14 views
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
Affirmative Action agreements asset management blockchain ETFs family finance Financial Institutions Insurance investment management Software UITs

as a key legal advisor within the Asset Servicing... Servicing’s Fund Services group, which includes fund accounting, administration, transfer agency, middle office, custody, and other services to a diverse range of registered and unregistered funds, ETFs,... UITs, and other inve...

Posted On Sep 23, 26
Full-time Experience : 5-8 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
agreements contracts due diligence FINRA
Practice Area:
Finance - Financial Services Regulation
Job Tags:
agreements contracts due diligence FINRA

responsible for owning the compliance function at the company. This includes onboarding registered representatives, interfacing with the... Financial Industry Regulatory Authority (FINRA), leading annual audits, and managing ongoing compliance requirements. The role requires ensuring that all compliance activities are con...

Posted On Jun 09, 26
Full-time 7 views Experience : 2-5 yrs required
Practice Area:
Estate & Tax Planning Elder Law Trusts and Estates - General
Job Tags:
Estate Planning estates family fiduciary finance private client Registered Investment Advisor special projects
Practice Area:
Estate & Tax Planning Elder Law Trusts and Estates - General
Job Tags:
Estate Planning estates family fiduciary finance private client Registered Investment Advisor special projects

of a well-established $20+ billion New York-based registered investment advisor that focuses... on ultra-high-net-worth clients. The role involves three primary functional responsibilities: 1. Provide day-to-day administrative and operational support to the Trust and Estate Group. 2. Assist with trust and estate docum...

Posted On Sep 08, 26
Full-time 1 views Experience : Min 15 yrs required
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options
Job Tags:
artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options

Title: Senior Vice President, Chief Privacy Officer Job Responsibilities: Enterprise Privacy Governance - Lead and enhance the company's enterprise privacy and data protection program. - Establish and maintain privacy governance frameworks, policies, standards, and procedures in alignment with regulatory requirements and industry best practices. -...

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
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
Privacy Women

Assistant General Counsel - Registered Investment Advisor Job Responsibilities: The Assistant... General Counsel for a Registered Investment Advisor at the... 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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