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Securities Exchange Act Of 1934 Jobs in Plymouth

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United States
Posted On Jun 26, 26
Full-time 11 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management 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 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 Senior Counsel role involves providing legal and regulatory support for the distribution of registered investment companies and private investment funds within the Wealth and Investment...

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Posted On Sep 01, 26
Full-time 3 views
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
corporate governance Insurance Mergers and Acquisitions Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
corporate governance Insurance Mergers and Acquisitions Securities

Advise public companies on securities compliance, including financial reporting... compliance matters under the Securities Exchange Act of 1934. -... Handle a variety of securities law compliance, disclosure, and... Companies & Governance team to provide day-to-day securities law counseling. - Manage significant... gover...

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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 is responsible for supporting the Columbia Threadneedle Investments registered investment companies by performing ongoing legal and regulatory activities under the direction of an attorney. Key duties include: - Coordinating the creation, updating, and filing...

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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 Sep 17, 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

(SAIs), including annual updates and supplements thereto, and other disclosure documents required by the Investment Company Act of 1940, Securities Act of 1933, and... the Securities Exchange Act of 1934. -... Solicit and coordinate input... to disclosure documents from business...

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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

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager at the company will focus primarily on supporting the Columbia Threadneedle Investments registered investment companies. The individual will be responsible for performing ongoing legal and regulatory activities concerning these registered investment companies...

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Posted On Sep 11, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government Contracts Government - 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:
Government and Government Relations Government Contracts Government - 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: The role of Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel involves providing comprehensive legal counsel and strategic advice on a range of complex issues intersecting banking regulation,...

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Posted On Sep 07, 26
Full-time 1 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - General

in public company reporting, compliance, corporate governance, and capital markets, working closely with public companies. This role offers the opportunity to be part of a dynamic securities practice within a leading... thorough legal research and analysis to support transactions...

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