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Associate General Counsel Responsibilities: Provide support to investment management operations including its investment advisory programs. Lead the preparation, ... coordination of Forms ADV (including regulatory filings and brochure disclosure documents..
Investment Management and Securities Associate Attorney ... range of issues associated with investment advisers, private equity funds and ... hedge funds, and broker-dealers including regulatory/compliance matters, investment vehicles and industry..
Enforcement Counsel/Senior Enforcement Counsel The candidate will collaborate with ... engage with respondents, or their counsel, to advance settlement discussions, and ... Interact with registered broker-dealers and investment advisers, opposing..
Chief Counsel The candidate will provide direct ... of research, writing and legal counsel. Provide various support and legal ... Section. Keep current with legal, regulatory and industry developments and..
... to SEC Rule 206(4)-7. Report regulatory risks and drive issues to ... the RIA to prepare for regulatory exams. Submit regulatory reports timely and accurately – ... required. Strong..
Senior Legal Counsel - Hybrid The candidate will ... The candidate will advice on investment adviser, mutual fund, ETF and closed-end ... fund, ETF and closed-end fund regulatory filings with..
Compliance Officer - Securities Industry The candidate will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange-traded funds (Trusts). Will assist ..
... 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..
Senior Manager, First Line Risk Management Office, Governance The candidate will understand and opine on the process of creation, review, update, and implementation of disclosures, such as research, product, bank, account ..
