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Registered Investment Companies Jobs in Cornelius

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United States
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... on the distribution of registered investment companies and private... investment... funds. The responsibilities include:... funds, ETFs, and other registered products, ensuring complianc...

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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

advice concerning applicable rules, regulations, and legal risks related 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...

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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...

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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,...

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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... 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 Regulation D and offshore...

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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...

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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

including annual updates and supplements. These documents 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,...

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Posted On Jul 31, 26
Full-time 2 views Experience : Min 3 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions banking family M&A Media NASDAQ Securities
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions banking family M&A Media NASDAQ Securities

Title: Corporate Counsel Job Responsibilities: The Corporate Counsel at Company is tasked with a variety of responsibilities that support the company's growth and expansion in the legal, accounting, consulting, private capital, and real assets sectors. The role encompasses: - Corporate Governance: -...

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Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - 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:
Finance - Financial Services Regulation Finance - 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 Columbia Threadneedle Investments registered investment companies. Under the... an attorney, the individual will be responsible for performing ongoing legal and regulatory activities concerning registered investment companies. Key duties... include coordinating the creation, updating, and filing of registration statement post-effective...

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Posted On Sep 22, 26
Full-time Experience : Min 6 yrs required
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage

Title: Compliance Quality Assurance Lead Testing Analyst - Fiduciary Oversight and Testing Job Responsibilities: The Compliance Quality Assurance (CQA) Lead Analyst is entrusted with the administration and execution of testing activities within the Independent Risk Review and Assessment (IRRA) second line...

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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 continuously enhance the company's enterprise privacy and data protection program. - Establish and maintain privacy governance frameworks, policies, standards, and procedures that align with regulatory requirements and industry best...

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Posted On Sep 30, 26
Full-time Experience : Min 6 yrs required
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage

Title: CQA Lead Analyst - Fiduciary Job Responsibilities: The Compliance Quality Assurance (CQA) Lead Analyst is tasked with the administration and execution of testing activities within the Independent Risk Review and Assessment (IRRA) second line organization. The key responsibilities include: - Partnering with...

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