Regulatory Counsel - Investment Management (1940 Act)
$145k - $218.5kMFS International Australia Pty Ltd
MFS International Australia Pty Ltd is seeking a Legal Counsel to provide legal support for regulatory initiatives and related operations. The ideal candidate will have 6-8 years of relevant experience and a strong understanding of the 1940 Act, supporting MFS' investment vehicles. Responsibilities include reviewing legal issues, ensuring compliance with regulations, and coordinating with various teams. The role demands excellent interpersonal skills and the ability to manage complex legal matters. Competitive salary range of $145,000 to $218,500 along with generous benefits. #J-18808-Ljbffr MFS International Australia Pty Ltd
- ...Australia Pty Ltd seeks an Assistant Counsel in Boston to provide legal counsel for regulatory initiatives and ongoing operations. The... ...has 4-6 years of legal experience in investment management and a strong knowledge of the 1940 Act. Responsibilities include legal...Regulatory
$145k - $218.5k
...position will provide legal counsel for significant and strategic regulatory initiatives and ongoing... ...determined by senior management. The focus is on supporting... ...to U.S. registered investment companies and related Investment Company Act of 1940 (1940 Act) work. The position...RegulatoryWork experience placementLocal areaFlexible hours$139k - $260k
...Wells Fargo is seeking a Senior Counsel to join the legal team supporting its Wealth and Investment Management (WIM) division. This Senior... ...will support the legal and regulatory aspects of distributing... ...with the Investment Company Act of 1940, the Securities Act of 1933...RegulatoryFull timeWork experience placementWork at officeRelocation package3 days per week$225k - $250k
...fiduciary services with robust investment options, innovative technology... ...is looking to add a Senior Counsel - Investment Solutions to the... ...matter expert on various legal and regulatory matters affecting the business, including asset management, capital markets, distribution...RegulatoryWork experience placementWork at officeLocal areaRemote workVisa sponsorship- ...dedicated to property risk management and the resilience of its policyholder... ...to the Assistant General Counsel, Corporate Transactions,... ...role supports the Company’s Investments group by providing end-to-... ...standard issues. Monitor legal, regulatory, and market developments...RegulatoryFull timeWork experience placementWork at officeFlexible hoursNight shift
- ...innovate. Liberty Mutual Investments (LMI) is the investment firm... ...and processes to mitigate & manage potential conflicts arising... ...Pitchbook, CapIQ) Support regulatory analysis on issues affecting... ...topics - Investment Advisers Act of 1940, management of confidential...RegulatoryLocal area
$160.1k - $286k
...MANAGING COUNSEL Corporate Performance & ESG (Environmental, Social, and Governance) (“CP & ESG... ...a highly qualified senior generalist. Acts as a resource for colleagues with less... ...strategic relationships as well as on regulatory, compliance and dispute matters. • Working...RegulatoryWork at officeLocal area2 days per week- ...US SEC and Advisers Act About the Company Acclaimed asset management company Industry... ...exam staff, manage regulatory interactions, and ensure... ...with outside counsel and compliance vendors... ...Deep expertise in the Investment Advisers Act of 1940, particularly for a...Regulatory
$150k - $180k
...Description Income Research + Management Income Research +... .... Open Position : Counsel (Legal) Job... ...management, governance, regulatory, contracts, employment,... ...the firm’s registered investment adviser business by advising on Advisers Act–related matters, ERISA,...RegulatoryFull timeWork visa$30 - $37 per hour
...opportunity with a highly successful Investment Management firm located in Boston, MA. The Compliance... ...reporting, client reporting, and regulatory reporting functions. The ideal candidate... ...of financial regulations, such as the 1940 Act 1-3+ years of compliance reporting experience...RegulatoryContract workImmediate startRemote work2 days per week$96k - $133k
...organization that provides investment management services to institutional investors... ...requirements for 40 Act registered investment advisers... ...compliance alerts with respect to regulatory and internal rules and... ...Investment Advisers Act of 1940, the Investment Company Act...RegulatoryFull timeWork at officeRemote work3 days per week- ...serve as VP, Commercial Legal Counsel. The position reports to the... ...and distribution channels and manage commercial contracting. Collaborate... .... Monitor healthcare regulatory laws and emerging legal trends... ...Statute, False Claims Act, OIG guidance and advisory opinions...RegulatoryWork at office
$170k - $200k
...Compliance Officer - Investment Advisor Locations BOSTON... ...a U.S.-based asset management firm. Reporting... ...program — overseeing regulatory adherence, managing risk... ...Partner with external counsel, fund administrator,... ...Investment Advisers Act of 1940, Investment Company...RegulatoryLocal areaFlexible hours$85k - $171k
...The Role The Senior Manager, Asset Management Compliance... ...fund managers of alternative investment products on behalf of the CCOs... ...improvement opportunities and regulatory changes. The compliance... ...including the Investment Advisers Act of 1940 Excellent verbal,...RegulatoryOdd jobFull timeWork at office- ## Senior Manager, Risk OperationsApplylocations: Boston... ...mitigation -- in alignment with regulatory guidelines. Modernizes... ...portfolios and ensures investment policy limitations are... ...the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company...Regulatory
$223k - $261k
...The Associate Director, Legal Counsel will be responsible for... ...will be expected to effectively manage a high volume of operational legal... ...of commercial, compliance and regulatory matters related to the... ...Kickback Statute, False Claims Act, FDA Rules, Sunshine Act) Excellent...RegulatoryFull timeContract workWork at officeFlexible hours- Voya Investment Management is seeking an experienced legal expert to provide guidance on financing transactions. The ideal candidate has a J.D. and over 10 years of transactional experience, particularly in asset backed finance. Responsibilities include advising on legal...
- ...The Senior Legal Counsel will serve as a leader and strategic advisor... ...on corporate, commercial, regulatory, litigation, and insurance matters... ..., joint ventures, strategic investments, and project-level... ...documentation. Coordinate and manage external counsel and transaction...RegulatoryContract workFlexible hours3 days per week
- Counsel - North Shore, MA - Alternative Asset Manager (Private Equity & Credit) Our team is working with a leading alternative asset management... .... The position partners closely with the investment team to assess legal and regulatory risks during due diligence and helps...RegulatoryFull timeWork at office
$130k - $264k
...Fidelity Digital Asset Management (FDAM) delivers a... ...suite of digital asset investment solutions for retail,... ...advanced products in the 40 Act space. Additionally, a... ..., client demand, and regulatory developments. Serve as... ...Advisers Act of 1940, the Investment Company...RegulatoryWork from homeShift work- ...Founded in 1977, GMO is a global investment manager committed to delivering... ...Legal Team. The Senior Legal Counsel – Advisory and Intermediary... ...intermediary relationships, and regulatory requirements, with a... ...of the Investment Advisers Act, as well as other U.S. and international...RegulatoryLocal areaWorldwideFlexible hours
- ...international law firm in Boston is seeking a Senior Solar Energy Attorney to manage legal efforts in solar project development. You will lead project planning and permitting, navigate regulatory compliance, and oversee financing activities. This role offers an...Regulatory
$120k - $217.5k
...Who we are looking for The Senior Legal Counsel (VP) - Wealth, Custody & Clearing - Retail... ...with deep expertise in relevant regulatory frameworks, commercial arrangements, and... ...industry groups and regulatory discussions. Manage relationships with external counsel on complex...RegulatoryTemporary work$229.6k - $360.8k
...Contracts Legal (GTC Legal) team. As Head Counsel, GTC Legal - Commercial, you will lead a... ...regional legal nuances and evolving regulatory frameworks. This position may be based in... ...agreements Local distribution and related managed markets engagements Events, sponsorships...RegulatoryMinimum wageContract workTemporary workWork at officeLocal areaRemote work$10k
Assistant Counsel page is loaded## Assistant Counsellocations... ...and strategic regulatory initiatives and on-... ...determined by senior management. In particular, this role... ...support to U.S. registered investment companies and related Investment Company Act of 1940 (1940 Act) work. This...RegulatoryWork experience placementLocal areaRemote workFlexible hours$176k - $230k
...Citizens Bank is seeking an experienced Counsel to join its Wealth Management Division in Westwood, Massachusetts. The role involves... ...legal guidance on fiduciary principles, investment management services, and regulatory compliance. The ideal candidate will have 3-5...Regulatory$110k - $222k
...Derivatives and Liquid Alternative Investments Product Manager at Fidelity Investments,... ...through market insights, regulatory developments, operations... ...readiness and rollout planning Acting as the voice of the... ...Investment Advisers Act of 1940, the Investment Company Act...RegulatoryFull time$229.6k - $360.8k
About the Role Reporting to the Head Counsel, Global Data, Digital & Technology, the Lead... ...legal support that enables innovation, manages risk, and drives compliant, effective adoption... ...governance, risk assessments and regulatory review, relating to AI development and deployment...RegulatoryTemporary workLocal areaRemote work- ...candidate will have six to nine years of relevant experience and strong legal writing skills. You'll advise clients on electric power regulatory matters and engage in administrative litigation before FERC. This role offers career mentorship, high-quality client service, and...Regulatory
$89k - $180k
...: Job Title: Senior Manager, Asset Management – Financial... ...Reporting, Accounting & Regulatory Policy The Role As... ...on new technologies and investment vehicles. In this... ...the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company...RegulatoryFull timeWork at office
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