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Securities Exchange Act Of 1934 Jobs in Uniondale

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United States
Posted On Sep 11, 26
Full-time 3 views Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - 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 - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - 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: 1. Bank Regulatory and Enterprise Advisory: - Provide legal counsel regarding core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity...

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Posted On Sep 01, 26
Full-time 24 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets contracts corporate governance depositions Insurance Life Science NASDAQ Securities Securities Act of 1933 Securities Exchange Act of 1934 stock exchange trials
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets contracts corporate governance depositions Insurance Life Science NASDAQ Securities Securities Act of 1933 Securities Exchange Act of 1934 stock exchange trials

Title: Capital Markets Associate Job Responsibilities: - Legal Research: Conduct comprehensive legal research and analysis to support case or transaction preparation and strategy. - Legal Writing: Draft error-free and well-reasoned legal documents, including briefs, motions, contracts, and correspondence. - Case/Transaction Assistance and Management: Assist...

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Posted On Sep 06, 26
Full-time 8 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 variety of complex transactions from...

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Posted On Sep 07, 26
Full-time 2 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
Broker Dealer contracts criminal Ethics evidence federal government Financial Institutions fraud Investment Advisers Act of 1940 pleadings Privacy public sector RICO Rule of Law Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws social security title
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
Broker Dealer contracts criminal Ethics evidence federal government Financial Institutions fraud Investment Advisers Act of 1940 pleadings Privacy public sector RICO Rule of Law Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws social security title

at the organization, your main responsibilities will include: - Developing recommendations, reports, and presenting and defending findings while collaborating with key stakeholders within the organization, and with other domestic and foreign securities and financial regulators. - Providing... legal advice, leadership, and assist...

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Posted On Jul 16, 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
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

successful candidate may be asked to perform other duties as necessary. Salary Information The salary for this position will be competitive and commensurate with experience. The firm also offers a comprehensive benefits package including medical, dental, vision, and...

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Posted On Jul 09, 26
Full-time 15 views Experience : 3-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management
Job Tags:
1940 Act asset management Capital Markets due diligence ETFs life sciences private equity public offerings Securities underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management
Job Tags:
1940 Act asset management Capital Markets due diligence ETFs life sciences private equity public offerings Securities underwriters

Title: Capital Markets Associate Job Responsibilities: - Collaborate within the Corporate Finance and Capital Markets practice to structure and execute innovative, complex financial transactions for clients across various industries globally. - Participate in organizing and raising capital for private credit and private equity...

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Posted On Jun 22, 26
Full-time 15 views Experience : Min 4 yrs required
Practice Area:
Finance - Structured Finance Corporate - Securities and Capital Markets Corporate - Technology Transactions Finance - General Corporate - General
Job Tags:
Affirmative Action agreements equity financial products FINRA Securities Act of 1933 Securities Exchange Act of 1934
Practice Area:
Finance - Structured Finance Corporate - Securities and Capital Markets Corporate - Technology Transactions Finance - General Corporate - General
Job Tags:
Affirmative Action agreements equity financial products FINRA Securities Act of 1933 Securities Exchange Act of 1934

Title: Structured Investments and Annuities Coverage Attorney Job Responsibilities: - Negotiate complex agreements with counterparties, including structured investment and annuity product issuers, as well as financial institution users of the company's web-based structured investments and annuities platform. - Assess and...

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Posted On Jul 07, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: - Collaborate with and provide legal guidance to all business lines and departments across the company, including product development, technology, compliance, finance, HR, and marketing teams. - Advise on and support the operation of...

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Posted On Jul 08, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: The Assistant General Counsel will collaborate with and provide legal guidance to all business lines and departments across the company, including product development, technology, compliance, finance, HR, and marketing teams. The role involves...

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Posted On Jul 08, 26
Full-time Experience : 3-5 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

Affairs Manager Job Description Company is seeking to hire a Legal Affairs Manager to join the team. The primary focus of this role is to support the Columbia Threadneedle Investments registered investment companies. Under the guidance of an attorney, the Legal Affairs...

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Posted On Jul 14, 26
Full-time 3 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Asset/Investment Management Trusts and Estates - General Estate & Tax Planning ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
agreements criminal domestic partner Domestic Violence due diligence ERISA family fiduciary FINRA Investment Advisers Act of 1940 investment management Paternity regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

General Counsel Job Title: Assistant General Counsel Job Responsibilities: The Assistant General Counsel will serve as Counsel supporting the Wealth Management Division of the company. The primary responsibilities include: - Providing legal support to wealth management, trust, fiduciary, investment advisory, and brokerage businesses. -...

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Posted On Sep 01, 26
Full-time Experience : Min 8 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 Of Counsel (Multi-Office) Job Responsibilities The Capital Markets / Public Company Of Counsel will engage in a wide range of legal responsibilities, primarily focusing on public company reporting and compliance, corporate governance, and capital markets. The role...

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Posted On Aug 12, 26
Full-time 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

information (SAIs) 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 lines, including product, marketing, fund administr...

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Posted On Aug 17, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity 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 - 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

Markets platforms at the company. The attorney's responsibilities include advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions. Specific duties involve:... - Advising on complex products and transact...

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Posted On Aug 25, 26
Full-time 5 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
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:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
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 to develop and resolve Enforcement cases from inception to completion. This role involves overseeing a diverse docket of cases, ensuring outcomes are supported...

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Posted On Aug 26, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General 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 Tax - M&A and Transactions Tax-General Practice (Transaction) Tax - Federal Tax - International Tax - General 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

of alternative investment and private markets products, as well as private securities transactions. - Handle complex products... and transactions involving alternative investment funds, feeder funds, private equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and... other pri...

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Posted On Jul 29, 26
Full-time 101 views Experience : 2-10 yrs required
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management
Practice Area:
Corporate - M&A Corporate - Asset/Investment Management

advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds, exchange-traded funds (ETFs), 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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