Investment Adviser Regulatory Counsel Jobs

Seeking an Investment Management Associate with asset management/investment fund experience in the alternative ... fund experience and ideally both. Regulatory expertise and experience (Investment Advisers Act, Investment Company Act, Commodity..

Seeking a Financial Institutions Regulatory, Enforcement and Litigation Associate with 2-4 years of experience representing and advising broker-dealers, investment advisers and international financial institutions in securities regulatory matters and enforcement proceedings, ..

Mid-level Investment Management Associate The candidate will ... handle matters involving representation of investment companies and investment advisers. Must have 3-5 years ... Should have substantial experience advising investment companies..

... handle matters involving representation of investment companies and investment advisers. Should have substantial experience ... Should have substantial experience advising investment companies and investment advisers regarding entity formation and..

... compliance team. For both our investment adviser and broker-dealer entities, ensure that ... broker-dealer entities, ensure that appropriate regulatory policies, procedures and controls are ... and coordinate SEC and..

Investment Adviser Compliance Director The candidate will ... candidate will assist firm's registered Investment Adviser (“IA”) clients to establish and/or ... Lead and/or assist in all regulatory examinations and enquires...

... talented associate to join its Investment Funds Regulatory practice in New York. This ... on a broad spectrum of regulatory issues, including fundraising, compliance, SEC ... have strong familiarity..

... qualified Associate for their Corporate Investment Funds Regulatory Practice in New York, NY. ... years of relevant asset management regulatory experience, with a strong understanding ... a strong understanding..

... highly qualified Fund Services Senior Counsel in New York. The ideal ... structuring, formation, and operation of investment funds. Expertise in legal, regulatory, and compliance matters, particularly with .....

Investment Management Compliance Executive Director Duties: ... to the funds and the adviser. Facilitating regulatory examinations of the firm’s Fund ... of the firm’s Fund and Adviser affiliates. Monitoring performance..

... on matters pertaining to registered investment companies, including mutual funds, exchange-traded ... with clients, internal teams, and regulatory authorities to ensure compliance with ... relevant laws and regulations. Duties:Provide legal..

... the practice.DutiesStructure, form, and operate investment funds.Advise clients on legal, regulatory, and compliance matters.Represent investors in ... compliance matters.Represent investors in private investment funds.Provide expertise on the Securities .....

... Management Associate to join the Regulatory & Enforcement practice in New ... six years of experience advising investment advisers, including private fund advisers, ... including private fund advisers, on..

... of experience to join its Investment Funds Group, focusing on Registered ... on the formation, structuring, and regulatory aspects of a range of ... bring experience from a recognized..

... mergers and acquisitions (M&A), financial regulatory compliance, and advising investment managers and hedge funds. The ... joint ventures, corporate governance, and regulatory compliance.Manage a portfolio of clients ... relationships..

... of experience working with registered investment companies and a strong understanding ... clients on compliance with the Investment Company Act and Investment Advisers Act.Collaborate with financial services ... services..

Associate General Counsel The candidate will be reporting ... be reporting to the General Counsel, responsibilities will include advising on ... include advising on contractual, bank regulatory, general corporate, and..

Investment Management Coverage Attorney- Vice President ... businesses. Responsibilities will include advising investment professionals and directing outside counsel in connection with fundraising, marketing ... requirements arising from various statutory, regulatory..

... experience with a top tier investment management practice representing private equity ... fund formations, as well as Investment Company Act, Investment Adviser Act and other regulatory compliance. Must have..

... This role involves advising leading investment firms and fund sponsors on ... sponsors on complex fund formation, regulatory compliance, and investor negotiations across ... manage the formation of private..

Job Title:Private Funds & Investment Management Associate AttorneyJob Overview:A prominent ... with demonstrated expertise in private investment funds and asset management. This ... formation, and operation of private investment funds..

... law firm seeks a mid-level Investment Management Associate Attorney in New ... have a strong background in investment management and regulatory experience, particularly with the SEC's ... with the..

... in securities enforcement defense and regulatory counseling, representing clients before various ... counseling, representing clients before various regulatory bodies.DutiesCollaborate with partners and clients ... matters.Represent clients in proceedings before..