- DLA Piper (New York, NY)
- …seeking a securities lawyer with 6+ years of experience managing structured securities offerings for our Investment Funds Group. We are looking for ... are applying **Experience** + Minimum 6 years of experience managing structured securities offerings. + Direct and applicable AmLaw 100 law firm experience… more
- TD Bank (New York, NY)
- …have strong leadership and organizational skills. **Depth & Scope:** + Manages other Senior Counsel , Counsel , Associate Counsel and/or paralegal staff, ... matters to join our dynamic legal team at TD Securities USA LLC. As a senior attorney specializing in...laws and regulations. Collaborate closely with internal stakeholders, including investment bankers, product groups and compliance as well as… more
- Neuberger Berman (New York, NY)
- **Summary:** The Associate General Counsel - Private Wealth will play an integral role within Neuberger Berman's Legal & Compliance Department, specifically with ... business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA, and serve as the lead attorney and… more
- Neuberger Berman (New York, NY)
- …(or CCO) for registered funds + Strong knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company Act of 1940, the ... Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity,… more
- SMBC (New York, NY)
- … will work within the Legal Department and report to the Managing Director, Associate General Counsel . **Role Objectives** + Provide US bank regulatory advice to ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- Morgan Stanley (Purchase, NY)
- …is a leading global financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. ... legend removals for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts (including… more
- Morgan Stanley (New York, NY)
- …is a leading global financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. ... within theDirect Lender Financing FSLgroup is looking for experienced Analyst to Associate level candidates to join the team. *Position Description:* The FID Secured… more