• SMBC (New York, NY)
    …attorney to provide comprehensive legal coverage and oversight for its affiliated US investment adviser . This is a leadership position requiring sound judgment ... from junior staff to senior management) on the US regulatory requirements for investment advisers. **Role Objectives**...advice on proposed business activities of a newly launched investment adviser , initially focusing on loan and… more
    DirectEmployers Association (10/07/25)
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  • SMBC (New York, NY)
    …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... of benefits to its employees. **Role Description** The Director, Counsel role for Sumitomo Mitsui Banking Corporation will work...candidate will act as the practical solution provider and adviser to the internal business client. As part of… more
    DirectEmployers Association (09/17/25)
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  • Regulatory Counsel…

    Trexquant Investment (Stamford, CT)
    …on the Investment Advisers Act, Securities Act, and related SEC regulatory regimes. + Deep understanding of US and global security regulations, including SEC, ... in managing investor contractual relationships, guiding the company's understanding of regulatory frameworks and fostering a culture of integrity and ethical… more
    Trexquant Investment (10/31/25)
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  • Director, Legal Counsel

    Charles Schwab (Westlake, TX)
    …a Director, Legal Counsel to support multiple retail-focused broker-dealer and investment adviser business units and work daily with managers, directors, and ... **Your opportunity** **Director, Legal Counsel ** At Schwab, you are empowered to make...financial services companies, in-house with a large broker-dealer and/or investment adviser , or as a staff attorney… more
    Charles Schwab (10/11/25)
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  • Counsel

    Wellington (Chicago, IL)
    …activities across institutional and wealth channels, with a focus on complex investment management agreements (IMAs), regulatory matters, and strategic client ... lawyer to join our Client Advisory Legal team as Counsel . This role will support legal coverage for client-facing...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
    Wellington (10/01/25)
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  • Legal Associate

    Wellington (Needham, AL)
    …Key responsibilities will include: + Support fulfillment of legal and regulatory obligations of Wellington-sponsored investment companies registered under the ... and presentations + Liaising with internal stakeholders and external counsel to manage fund regulatory calendar +...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
    Wellington (10/08/25)
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  • US Wealth, Media Relations Leader

    Wellington (New York, NY)
    …knowledge of investment products, global financial markets, and the evolving regulatory landscape, with the ability to advise executives on complex issues. + ... the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets… more
    Wellington (10/22/25)
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