- Morgan Stanley (Purchase, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services . The Firm's employees ... for new issue distribution of a wide range of securities products; fixed income, equity, options, OTC derivatives, FX,...coverage of the Firm's Syndicate, Trading and Executive Financial Services businesses. The attorney will also work… more
- Morgan Stanley (New York, NY)
- …the Investment Company Act of 1940, the Bank Holding Company Act of 1956, the Securities Act of 1933, Regulation D, ERISA , AIFMD, and FINRA Rules > Excellent ... Investment Management Attorney - Vice President Primary Responsibilities The candidate...materials > Reviewing and negotiating investment advisory and other service agreements > Advising the business on regulatory developments… more
- Neuberger Berman (New York, NY)
- …the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA , and serve as the lead attorney and work with various colleagues ... to implement changes to the business in order to comply with changing regulations. + Partner with business, operational and risk teams through all stages of the development of new advisory initiatives, including drafting and updating advisory agreements,… more
- Discover (Riverwoods, IL)
- …future with Discover. **Job Description:** Under the direction of a managing attorney , this role involves working collaboratively with a team to support and ... fiduciary, tax, and compliance matters related to benefits and executive compensation ( ERISA , the Internal Revenue Code, 409A, HIPAA, COBRA, ACA, and other… more