- 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
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …include supporting the Corporate Secretary in: + providing advice regarding securities law disclosure/compliance, including Annual Reports on Form 10-K, Quarterly ... preparing for the annual meeting of stockholders. + providing securities law advice and compliance guidance for earnings releases,...legacy at the same time. And through the organization's investment in BD University, you will continually level up… 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
- Citigroup (New York, NY)
- The Investment Associate Lead is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by ... on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the...billionaires and their families. + The role of the Investment Associate is to provide a wide… 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