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
$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$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
$229.6k - $360.8k
...Job Description As the Head Counsel for U.S. Policy Legal (Senior Director), this role delivers... ..., reimbursement, legislative, and regulatory landscape. The role serves as a key legal... ...strategy for the relevant functions and act as Takeda’s active representative to relevant...RegulatoryMinimum wageTemporary workLocal area- ...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
$325k - $400k
...serve as VP, Commercial Legal Counsel. The position reports to the General... ...and distribution channels and manage commercial contracting.... ...policies. Monitor healthcare regulatory laws and emerging legal trends... ...Kickback Statute, False Claims Act, OIG guidance and advisory opinions...RegulatoryWork at office$290k - $390k
...Fund Formation & Investment Management Associate Attorney Location: Boston... ...TX | New York, NY Direct Counsel is seeking a mid-level Fund... .... Provide guidance on regulatory and compliance matters relating... ...of the Investment Advisers Act , related compliance...Regulatory- ...to 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
$91k - $140.5k
...compliance module of the Charles River Investment Management Solution (CRIMS). Their contributions... ...wealth manager, consulting firm, or regulatory agency. Experience with order... ...are not limited to Investment Company Act of 1940, UCITS and SEC 2a-7 Regulation. Ability...Regulatory$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- ...Senior Counsel, Global Registered Investment Advisor About the Company A global registered... ...platform agreements, and regulatory considerations in both U.S... ...in advising asset managers, investment advisers, or other... ...U.S. Investment Advisers Act, as well as familiarity with...Regulatory
$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$170k - $200k
...Compliance Officer – Investment Advisor BOSTON, MA... ...diversified global asset management firm. We serve... ...program — overseeing regulatory adherence, managing risk... ...Partner with external counsel, fund administrator,... ...Investment Advisers Act of 1940, Investment Company...RegulatoryLocal areaFlexible hours$110k - $222k
...for private alternative investment funds. You will play a... ...years’ experience in Asset Management, preferably within... ...the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company... ...of numerous self-regulatory organizations, including...RegulatoryContract workWork from home$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- ...an Associate General Counsel to serve as a key legal... ...partner closely with investment, client-facing, product... ...platform relationships, and regulatory considerations across... ...include: Acting as the lead legal advisor... ...negotiation of investment management agreements, investment...Regulatory
$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 jobWork at officeWork from home- ...Senior Counsel, Global Registered Investment Advisor About the Company Global registered... ...business objectives and regulatory requirements. This role is... ...U.S. Investment Advisers Act and international... ...legal agreements, be adept at managing multiple priorities, and demonstrate...Regulatory
- ...standing Boston based private investment firm is seeking a mid level Funds Counsel to join their growing... ..., investment and regulatory compliance efforts. The... ...law matters, including 1940 Act, Advisers Act. Support... .... Experience with managing major fund closings....RegulatoryWork at office
$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- 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...
- ...and Control to join our BNY Investments team. This role is located in... ...business leaders and senior management to ensure policies, controls,... ...monitoring processes meet all regulatory requirements. In this role... ...with the Investment Advisers Act and other applicable...Regulatory
$130k - $264k
...The Team The Investment Product Group (IPG) plays... ...partnering closely with asset management, Fidelity's... ...~ Strong command of regulatory, legal, and operational... ...the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company...RegulatoryWork from home$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... ...and strategic relationships as well as regulatory, compliance and dispute matters. Working...RegulatoryWork at officeLocal area2 days per week- ...Senior Legal Counsel, Funds About the Company Leading alternative asset manager focused on private credit and PE investments. Industry Investment Management Type Privately... ...duties, and monitoring the regulatory landscape for any changes that may...Regulatory
- ...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
$140k - $166k
...As a forward thinking asset manager, we build dynamic relationships... ...the Department The U.S. Investment Compliance team ensures portfolios... ...meet investment guidelines, regulatory requirements, and internal... ...of Investment Company Act of 1940 and Advisers Act Demonstrated...RegulatoryFull timeWork at officeLocal areaFlexible hours- ...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
- ...Senior Director & Senior Counsel, M&A About the Company International industrial... ...responsibilities include leading the legal function, managing a small legal team, and overseeing... ...contracts, and ensuring compliance with regulatory requirements. Applicants for this...Regulatory
- ...and Control to join our BNY Investments team. This role is located in... ...business leaders and senior management to ensure policies, controls,... ...monitoring processes meet all regulatory requirements. In this role... ...with the Investment Advisers Act and other applicable regulations...RegulatoryFlexible hours
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