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Securities Act Of 1933 Jobs in Cortlandt

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United States
Posted On Sep 10, 26
Full-time 22 views Experience : Min 5 yrs required
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

coverage for the Capital Markets and Private Markets businesses within the company. The attorney will focus on the company's growing Private Securities transactional business and offer... support for the Capital Markets businesses. The role involves significant interaction with various bus...

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Posted On Jul 13, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

focus on the Private Securities transactional business. - Work closely... seven capital markets lawyers and report to the head of the Capital Markets legal team. - Engage in new issue distribution of various securities products including structured products,... fixed income, equity, options...

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Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

focusing on the Alternative Investments and Private Markets platforms. Key responsibilities include: - Advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions. - Handling complex... products and trans...

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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 - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions. The role involves:... - Advising on complex products and transactions involving alternative investment funds, feeder funds, private equity, privat...

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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
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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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
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

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 developments into timely, actionable policy updates and business...

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