- 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 (New York, NY)
- …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
- 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)
- …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 (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