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Securities Exchange Act Of 1934 Jobs in Davidson

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United States
Posted On Sep 16, 26
Full-time 3 views Experience : 5-5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - Compliance Finance - Banking Finance - General
Job Tags:
agreements Collective Bargaining corporate governance credit agreements credit facilities due diligence equity family finance health insurance NYSE Partnership restructuring SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Transportation
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - Compliance Finance - Banking Finance - General
Job Tags:
agreements Collective Bargaining corporate governance credit agreements credit facilities due diligence equity family finance health insurance NYSE Partnership restructuring SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Transportation

Attorney - Corporate Governance, Securities, and Finance Job Responsibilities: -... Provide regular legal advice and assistance on corporate governance matters, ensuring compliance with federal and state statutory requirements, and NYSE or other listing requirements related to governance practices and disclosures. - Lead...

Posted On Aug 26, 26
Full-time 7 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
corporate governance Corporate Law M&A Securities Act of 1933 Securities Exchange Act of 1934 Venture Capital
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
corporate governance Corporate Law M&A Securities Act of 1933 Securities Exchange Act of 1934 Venture Capital

position will be on SEC reporting obligations, requiring the attorney to advise clients on matters related to the Securities Act of 1933 and... the Securities Exchange Act of 1934.... The role may also... involve handling corporate governance issues, mergers a...

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

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The role of Senior Counsel involves providing legal support to the Wealth and Investment Management (WIM) division, specifically focusing on the distribution of registered investment...

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

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: - Advise on the distribution of mutual funds, ETFs, and other registered products, ensuring compliance with FINRA rules and SEC regulations. - Provide legal support for the distribution...

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,...

Posted On Sep 11, 26
Full-time 3 views Experience : Min 10 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets 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 - M&A Corporate - Securities and Capital Markets 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

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: - Provide legal counsel on core federal banking laws, including prudential, safety and soundness, corporate governance, affiliate transactions, investment, and permissible activity requirements applicable to the company's operations and strategic...

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...

Posted On Sep 22, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action Capital Markets corporate governance equity Insurance NASDAQ NYSE Securities Securities Act of 1933 Securities Exchange Act of 1934
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action Capital Markets corporate governance equity Insurance NASDAQ NYSE Securities Securities Act of 1933 Securities Exchange Act of 1934

Job Title: Corporate & Securities Associate (Public Company Advisors... Responsibilities: The Corporate & Securities Associate will join the... Corporate & Securities Practice Group at the... law firm. The associate will be part of the Public Company Advisors Team, working collaboratively...

Posted On Sep 23, 26
Full-time Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action Capital Markets corporate governance NASDAQ NYSE Partnership Securities Securities Act of 1933 Securities Exchange Act of 1934
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Affirmative Action Capital Markets corporate governance NASDAQ NYSE Partnership Securities Securities Act of 1933 Securities Exchange Act of 1934

Job Title: Corporate & Securities Counsel (Public Company Advisors... Team) Job Responsibilities: The Corporate & Securities Counsel will be a... within the Corporate & Securities Practice Group. The primary... counsel will handle complex securities, corporate governance, capital markets,... and regulatory matters. T...

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

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager at the company will primarily focus on supporting the Columbia Threadneedle Investments registered investment companies. Under the direction of an attorney, the individual will be responsible for performing ongoing legal and regulatory...

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Posted On Aug 11, 26
Full-time 6 views Experience : 2-14 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General

obligations, and advising on the Securities Act of 1933 and... the Securities Exchange Act of 1934.... The ideal candidate will also have experience with corporate governance, M&A, and venture capital clients on public company securities on SEC reporting......

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