Legal Registered Investment Companies Jobs Jobs in Roslyn, NY

Employment Law - Management (Compliance & Counseling) Attorney / Employment Law - Litigation Employer Defense Attorney / Employment Law - General Attorney / Litigation - Labor & Employment Attorney in Harrison, NY

In-House • **Members Only** Harrison, NY

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Posted On Jul 20, 26

Full-time 2 views Experience : Min 8 yrs required

Practice Area:

Employment Law - Management (Compliance & Counseling) Employment Law - Litigation Employer Defense Employment Law - General Litigation - Labor & Employment

Job Tags:

acquisitions agreements child divestitures domestic partner due diligence Employment Law employment litigation ERISA fiduciary Government Harassment health benefits Immigration international business Litigation M&A Mediation mergers pension pleadings Privacy restructuring Severance Visa wage and hour

Title: Senior Counsel, Employment & Litigation Job Responsibilities: - Advise and support Human Resources and business partners on employment-law related matters in North America offices and other global locations as assigned. This includes providing guidance on hiring, performance management, terminations,...

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Attorney in Greenwich, CT (Remote)

In-House • **Members Only** Greenwich, CT

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Posted On Sep 08, 26

Full-time 7 views Experience : 10-15 yrs required

Job Tags:

Affirmative Action AML Broker Dealer due diligence equity Money Laundering Securities Act of 1933

the Role Company is seeking a Vice President to join its Regulatory and Compliance team. The candidate will collaborate with senior Compliance team members to ensure adherence to AML regulatory requirements in the United States and other regions where Company...

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Administrative Law Attorney in White Plains, NY

Government • **Members Only** White Plains, NY

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Posted On Oct 01, 26

Full-time Experience : Min 2 yrs required

Practice Area:

Administrative Law

Job Tags:

Deferred Compensation directors evidence health insurance Insurance Litigation title Visa

Title: Senior Attorney Job Responsibilities: The Senior Attorney, under the guidance of an Associate Attorney, will be responsible for representing the department in various aspects of the administrative hearing process. Key duties include: - Conducting pre-hearing conferences and negotiating settlements. - Preparing witnesses for...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Stamford, CT

In-House • **Members Only** Stamford, CT

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Posted On Aug 21, 26

Full-time 3 views Experience : Min 15 yrs required

Practice Area:

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

Job Tags:

40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

comprehensive compliance program covering Registered Investment Adviser (RIA), Broker-Dealer... (B/D), and 40 Act registered fund obligations, including all... policies, procedures, testing, and supervisory controls. - Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking on an ongoing basis and translate regulatory...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - Technology Transactions Attorney / Corporate - General Attorney in Stamford, CT

In-House • **Members Only** Stamford, CT

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Posted On Sep 07, 26

Full-time 3 views Experience : Min 4 yrs required

Practice Area:

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

Job Tags:

agreements artificial intelligence Disability Benefits equity Insurance investment management partnerships regulatory compliance securities laws

counsel to company businesses, investment advisers, advisory technology teams,... matters arising under the Investment Advisers Act and other... applicable securities laws and regulations. - Lead and contribute to strategic business initiatives, including digital advice programs, technology-driven solutions and tools (Fintech), industry...

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Attorney in New York City, NY (Remote)

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

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Posted On Sep 01, 26

Full-time 3 views Experience : Min 5 yrs required

Job Tags:

equity registered investment companies

Job Title: Tax Manager, Registered Investment Companies (RICs) Job Responsibilities: Tax... Strategy & Compliance - Calculate tax effects of transactions, conduct technical tax research, and manage tax partner expectations. - Handle billing and WIP management. - Review tax returns and manage tax workflow across multiple...

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

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

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Posted On Aug 10, 26

Full-time 1 views Experience : 2-4 yrs required

Practice Area:

Corporate - Asset/Investment Management

Job Tags:

1940 Act agreements asset management contracts derivatives FLSA ISDA marketing organizational documents registered investment companies securities laws title

for the Company's . registered funds, sub-advisory relationships, and... other retail products, including separately managed accounts and model-based programs. The role involves close collaboration with senior management and various teams across the Company, including fund administration and compliance, to address...

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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 18, 26

Full-time 2 views Experience : Min 5 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

agreements artificial intelligence asset management Domestic Violence fund formation Privacy registered investment companies

Title Knowledge Management Attorney - Registered Funds Job Responsibilities The Knowledge Management... Attorney (Registered Funds) at the law... firm plays a critical role in enhancing the registered funds practice by developing... practical legal knowledge the knowledge strategy for registered funds matters and collaborating......

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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 23, 26

Full-time 4 views Experience : 4-8 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

40 Act Affirmative Action agreements directors ETFs Investment Advisers Act of 1940 Mutual Funds partnerships registered investment companies regulatory compliance SEC filings Securities Act of 1933 Securities Exchange Act of 1934 trusts wealth management

Title VP, Counsel - Registered Funds Job Responsibilities -... for the company's . registered funds and collective investment... trusts, ensuring compliance with... the Investment Company Act of 1940,... Securities Act of 1933, Securities Exchange Act of 1934, and related SEC...

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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 18, 26

Full-time 146 views Experience : 3-6 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

asset management directors ETFs fund formation Investment Advisers Act of 1940 Mergers and Acquisitions Mutual Funds registered investment companies Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

a comprehensive benefits package including medical, dental, vision, and 401k plans. Job Title Registered Funds Associate Experience... Information 3-6 years of legal experience practicing as a Registered Funds Attorney Department... Asset Management Group (Regist...

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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 23, 26

Full-time 15 views Experience : Min 7 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

Affirmative Action agreements Broker Dealer contracts ERISA ETFs FINRA Investment Advisers Act of 1940 LLC partnerships Securities Act of 1933 securities laws trusts wealth management

Title Senior Vice President, Head of Legal and Compliance Job Responsibilities - Provide legal and compliance support for the company's . broker-dealer, ensuring adherence to relevant regulatory requirements. - Draft, review, and negotiate a wide range of agreements related to...

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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... for 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...

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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 Aug 20, 26

Full-time 1 views Experience : 2-4 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

1940 Act criminal directors ETFs investment management M&A Mutual Funds registered investment companies sexual assault stalking underwriters

Title Investment Management Group – Registered Funds Mid-Level Associate Job Responsibilities The... mid-level associate in the Investment Management Group at the... experience in 1940 Act registered funds and business development... company work. The associate will work closely with the team in advising funds,...

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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... 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 ......

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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 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

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...

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Registered Funds Associate Attorney

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

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Posted On Aug 17, 26

Full-time 102 views Experience : 2-10 yrs required

Practice Area:

Corporate - M&A Corporate - Asset/Investment Management

City is seeking a Registered Funds Associate Attorney with... on matters pertaining to registered investment companies, including mutual... closed-end funds, interval funds, tender offer funds, and business development companies, as well as their... advisers and directors. This role involves collaborating...

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Registered Investment Companies Jobs in Roslyn

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