Investment Adviser Regulatory Counsel Jobs in Dallas

Institutional Sales and Business Development Professional Duties: Developing and executing an annual sales plan for the fiduciary services practices in North America, including business priorities, growth targets, referral network, intellectual capital, ..

Manager - Regulatory Compliance The candidate will advise ... Advisers Act and other applicable regulatory directives. Advise on and review ... Advisers Act and other applicable regulatory requirements. Assist clients..

Senior Compliance Manager, Mutual Funds The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance, reputational and operational risk. Performing desk-based compliance and ..

Paralegal / Documentation Specialist The candidate will sole paralegal/ documentation specialist role on Asset Management Alternatives Legal Team. Serve as primary legal contact delegate for Asset Management Alternatives fund entities. Responsible ..

VP, Corporate Counsel, Bankruptcy & Restructuring The candidate ... candidate will be working with investment professionals in connection with bankruptcy ... Retaining, managing, and coordinating outside counsel. Supporting and driving..

... for a variety of SEC-registered investment advisers. Provide technical expertise on ... Provide technical expertise on complex regulatory issues, particularly those related to ... Assist with preparing and reviewing..

Asset Management Attorney, Vice President The candidate should have 3 years’ experience at a top law firm or in-house focused on the Advisers Act – robo investment advice and ERISA experience ..