Regulatory Compliance Legal Secretary Jobs in Rockville

Investment Management Associate; Senior Associate – Securities The candidate must have 2-4 years of post-JD experience. Should have experience advising and representing investment advisers, broker-dealers, hedge funds, securities exchanges, or securities ..

... with other members of the legal department to develop compliance and other internal policies. Reconciling ... policies. Reconciling business needs with regulatory and legal requirements. Writing clearly and communicating..

Deputy Chief Compliance Officer The candidate responsibilities include ... : Assisting Interactive Advisors’ Chief Compliance Officer to ensure Interactive Advisors ... but not limited to annual compliance reviews, advertising material..

... role focuses on fund structuring, regulatory compliance, capital raising, and investor negotiations, ... clients on fund structuring and regulatory complianceProvide ongoing counseling to fund ... conflicts of interestAssist clients..

... appeals.Navigate Civil Investigative Demand (CID) compliance: coordinate document collection, oversee responses, ... drafting comments, and engaging in regulatory working groups.Support or spearhead criminal ... clients on antitrust risk, internal..

... for its Corporate Investment Funds Regulatory Practice in Washington, D.C. The ... years of relevant asset management regulatory experience, with a strong understanding ... Investment Company Act of 1940.DutiesProvide..

... across diverse industries on complex regulatory and transactional issues. A portable ... private companies on securities law compliance, public offerings, and capital markets ... governance issues, SEC reporting, and..

Senior Attorney, Compliance The candidate under the general ... strategies for building company’s overall Compliance Program, to include development of ... the program evolves, including enterprise compliance, risk assessment and..

... Washington, D.C., focusing on antitrust compliance and government review matters. This ... involvement in merger-related risk assessment, regulatory investigations, and client advocacy before ... documents addressing antitrust provisions and..

Assistant General Counsel, Compliance The candidate will be responsible ... creation and implementation of company’s Compliance Program, to include development of ... evolves, which may including enterprise compliance, risk assessment..

... Attorney with 3-6 years of legal experience. The candidate will provide ... The candidate will provide comprehensive legal advice and guidance to clients ... investment advisers on business and..

Job OverviewA law firm seeks an Investment Funds Regulatory Associate in Washington, D.C. The role involves working within a leading regulatory practice, assisting fund sponsors with fundraising, transactions, and navigating SEC ..

Associate General Counsel, Regulatory The candidate will be assisting ... be assisting the firm’s Chief Regulatory Counsel in handling various regulatory matters, including evaluating the legal and regulatory impact of..

Job OverviewA law firm seeks a mid-level antitrust associate with a minimum of three years of experience to join their practice in Washington, DC. The role involves working on complex antitrust ..

... market participants, and individuals, in regulatory enforcement matters and high-stakes investigations. ... opportunity to work on cutting-edge legal issues in a collaborative and ... high-performing team environment.DutiesRepresent clients in..

... to develop expertise in cutting-edge legal issues in a collaborative environment.Duties:Assist ... variety of sophisticated transactions, ensuring compliance with regulatory requirementsAdvise clients on fund formation, ... investor relations, and..

... to manage the firm's corporate legal affairs, including drafting and reviewing ... issues, and assisting with global compliance and risk management.DutiesAssist the Corporate ... Deputy General Counsel with global..

... Washington, D.C. seeks an experienced legal professional to serve as an ... antitrust practice through thought leadership, legal knowledge management, attorney training, and ... developments under the Hart-Scott-Rodino (HSR)..

... on the formation, structure, and regulatory framework of a diverse range ... their practice in a sophisticated legal environment with exposure to both ... (ETFs)Listed closed-end fundsStructure and provide..

Associate General Counsel – Competition Compliance The candidate will assist in ... and implementation of company-wide competition compliance programs and initiatives. Advise on ... programs and initiatives. Advise on legal..

Assistant General Counsel, Compliance Duties: Provide crucial thought-leadership and ... creation and implementation of FINRA’s Compliance Program, to include development of ... evolves, which may including enterprise compliance, risk assessment..

... to cross-border transaction advocacy and regulatory strategy in sectors like technology, ... sciences, and energy.DutiesAdvise clients on compliance and risk management strategies.Participate in ... in cross-border transaction advocacy and..

... in the field.Duties:Advise clients on compliance with public company rules and ... registration statements and offering documents.Ensure compliance with national securities exchange listing ... and 5, ensuring accuracy and..