Investment Adviser Regulatory Counsel Jobs in Massachusetts

... its registration as a Registered Investment Adviser. Oversees the administration of Group's ... issues and relevant updates, significant regulatory developments and internal compliance initiatives. ... Coordinates and completes all..

... Lead the team responsible for regulatory exams and inquiries and other ... exams and inquiries and other regulatory affairs; as well as responsible ... well as responsible for performing..

Investment Management - Enforcement Associate or ... 3-5 years of experience providing regulatory counselling to investment advisers, registered investment companies and wealth management businesses ... retail broker-dealers). Knowledge of the..

... various fund-related agreements and ensuring regulatory compliance.Duties:Collaborate with private equity and ... management company arrangements.Provide guidance on regulatory compliance matters related to private ... with the Securities Act, the..

Associate The candidate will provide regulatory, compliance and operational counseling to ... managers. Assist in responding to regulatory exams, audits and annual compliance ... assistance and support regarding strategic regulatory..

Fund Formation Associate The candidate will focus primarily on private fund formation and regulatory compliance including venture capital, private equity, real estate and hedge funds. Graduated with a JD or LLM ..

... will report to the General Counsel and FEIM CCO, this individual ... team and risk on all regulatory developments, requirements, and proposals as ... are in place to meet..

Managing Director & Managing Counsel – SSGA Legal Department - ... and actionable legal advice and counsel with respect to our U.S. ... that are registered under the Investment Company..

... that provide brokerage services and investment advisory offerings to third-party intermediary ... third-party intermediary clients, including registered investment advisers (“RIAs”), banks, and broker-dealers. ... of law firm, industry, or..

... managed accounts. Providing legal and regulatory advice to support changes to ... colleagues. Acting as a trusted adviser to State Street business units. ... units. Instructing and managing external..

... managed accounts. Providing legal and regulatory advice to support changes to ... colleagues. Acting as a trusted adviser to State Street business units. ... units. Instructing and managing external..

Associate Counsel - Wealth Solutions The candidate ... Compliance team to respond to regulatory and consumer complaints, and to ... separate account and synthetic guaranteed investment contracts. Provide analysis of..

... placement agreements, legal opinions, and regulatory filings.Manage fundraises from launch to ... a comprehensive understanding of the Investment Advisers Act and other federal ... requirements and exemptions to the..

Lead Counsel - Wealth and Investment Management Investment Solutions The candidate will serve ... on a complex offering of investment advisory wrap fee programs to ... its capacity as the..

... relevant experience working with registered investment companies, specifically focusing on closed-end ... companies, specifically focusing on closed-end investment companies.Duties:Provide legal counsel and support to clients on ... on matters..

Investor Services Associate Counsel Duties: Provide corporate secretary and ... Duties: Provide corporate secretary and regulatory support to a variety of ... to ensure that they maintain regulatory calendars of..

Counsel The candidate will do day ... global front office matters, including investment support in the areas of ... as assistance with legal and regulatory issues arising from trading and/or..

Legal, AVP The candidate will be drafting, reviewing and negotiating complex agreements, including custody, fund administration, transfer agency, and trust agreements. Advising business partners regarding laws and regulations governing insurance companies, ..

Legal Counsel, Vice President Duties: Drafting, reviewing and negotiating complex agreements, including custody, fund administration, transfer agency, and trust agreements. Advising business partners regarding laws and regulations governing insurance companies, ERISA ..

... of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of ... of 1934. Prepare drafts of regulatory documents for various..

... 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..

Investment Management - Regulatory Associate or Senior Associate The ... on SEC matters involving the Investment Advisers Act and/or Investment Company Act and related rules. ... and drafting transactional documents..

... 3-6 years of asset management regulatory experience. The candidate must have ... federal securities laws, particularly the Investment Advisers Act. Experience in a ... law firm and in-house or..