- 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
- 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
- Wellington (Boston, MA)
- …activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser , including licensing, marketing, and disclosure rules + ... and collaborative lawyer to join our Legal team as Counsel . This role will provide legal coverage for client-facing...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Vanguard (Malvern, PA)
- …impact in the legal and regulatory space? Join Vanguard as a Legal Counsel specializing in the Investment Company Act of 1940. This role offers the ... working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance. + Excellent drafting, negotiation, and… more
- 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
- Wellington (New York, NY)
- …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 ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more
- 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
- Aegon Asset Management (Denver, CO)
- …Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and applicable related regulatory requirements. Develop and assist in the preparation of reports for the TAM ... investment companies and the transfer agent. + Lead regulatory examinations and audits as assigned by the Chief...risk management functions + Extensive knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund,… more
- Robert Half Legal (Charlotte, NC)
- …for a Compliance Manager to lead and shape the compliance program for an SEC-registered investment adviser . This is your chance to not only make an impact but ... Do: ✔️ Oversee the compliance program, ensuring it evolves with regulatory landscapes ✔️ Manage compliance records for pre-clearance approvals, marketing reviews,… more