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Securities Exchange Act Of 1934 Jobs in Peabody

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United States
Posted On Sep 07, 26
Full-time 3 views Experience : Min 4 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets contracts corporate governance Insurance Life Science NASDAQ Securities Securities Act of 1933 Securities Exchange Act of 1934 stock exchange trials underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets contracts corporate governance Insurance Life Science NASDAQ Securities Securities Act of 1933 Securities Exchange Act of 1934 stock exchange trials underwriters

Title: Capital Markets / Public Company Associate Job Responsibilities: - Conduct thorough and comprehensive legal research and analysis to support transaction preparation and strategy. - Draft well-written, error-free, and reasoned legal documents, including memos, contracts, and correspondence. - Assist/Manage a...

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Posted On Jul 07, 26
Full-time 10 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management

Title: Counsel - Wealth Management Job Responsibilities: - Provide legal support to wealth management, trust, fiduciary, investment advisory, and brokerage business units. - Interpret and apply fiduciary principles and duties to ensure compliance with relevant laws and regulations. - Offer advice on advisory and...

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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 - 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

Title: Paralegal Job Responsibilities: The Paralegal position at the company primarily focuses on supporting the Columbia Threadneedle Investments registered investment companies. Under the guidance of an attorney, the Paralegal is responsible for various on-going legal and regulatory activities concerning registered investment companies....

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Posted On Jul 10, 26
Full-time 1 views Experience : Min 2 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
contracts FINRA Securities Software special projects title
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
contracts FINRA Securities Software special projects title

Title: Junior Attorney Date: September 2025 Department: Legal Status: Full Time, Exempt Job Summary: We are seeking a highly motivated Junior Attorney to join our Legal team. The successful candidate will support the General Counsel and legal department in a wide range of responsibilities,...

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Attorney in Boston, MA

Public Interest • **Members Only** Boston, MA

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

oversight, direction, and day-to-day management of a team of investigators focused on crypto-related fraud and market abuse within the securities industry. This includes ensuring... investigations are thorough, strategically sound, and supported by clear and sufficient evidence using accepted and reliabl...

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Posted On Jun 26, 26
Full-time 7 views Experience : Min 4 yrs required
Practice Area:
Finance - Financial Services Regulation 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:
Finance - Financial Services Regulation 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 Senior Counsel will be responsible for supporting the legal and regulatory aspects of distributing registered investment companies and private investment funds within the Wealth and Investment...

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Posted On Aug 25, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Director of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys, overseeing the development and resolution of enforcement cases from inception to completion. The Director ensures that each case is supported by accurate and...

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Posted On Sep 09, 26
Full-time 2 views
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - Compliance
Job Tags:
board of directors Capital Markets corporate governance corporate transactions data privacy directors due diligence Employment Discrimination equity Equity Compensation finance insurance coverage M&A Mergers and Acquisitions NASDAQ SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Software Workplace Violence
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - Compliance
Job Tags:
board of directors Capital Markets corporate governance corporate transactions data privacy directors due diligence Employment Discrimination equity Equity Compensation finance insurance coverage M&A Mergers and Acquisitions NASDAQ SEC filings Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws Software Workplace Violence

team supporting a publicly traded company. The individual will lead and advise on . securities law compliance, SEC reporting... and disclosure obligations, corporate governance matters, insider trading compliance, executive compensation disclosures, and Board of Directors activities. Key responsibilities include: SEC Reportin...

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Posted On Jul 29, 26
Full-time 93 views Experience : 2-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management

law firm in Boston, MA is seeking a Registered Funds Associate Attorney with 3-6 years of legal experience. The ideal candidate will provide comprehensive legal advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds,...

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