The Senior Legal Counsel will work closely with other members of the legal team, advising the business on the following..., registered funds, particularly focusing on 1940 Act support Review regulatory filings, '40 Act fund registration statements...
The Senior Counsel will work with the Deputy General Counsel and other members of the legal team... and documentation, reviewing for SEC and FINRA compliance Provide legal advice and aid in provisions relating to 1940 Act compliance...
Company Act of 1940 (as amended) Advise on Dodd Frank and other laws and regulations governing the structured finance... Company Act of 1940 (as amended) Expectations It is the Bank’s expectation that employees hired into this role will work...
capabilities. Guide the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA... and/or broker-dealers on regulatory obligations - 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934...
construction capabilities. Guide the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934..., specialized experience in advising investment advisers and/or broker-dealers on regulatory obligations - 1940 Act experience...
/MBA or other professional training (e.g. CFA) preferred Knowledge of the 1940 Act, 1933/34 Acts and applicable SEC... with internal colleagues and senior management of the NYSE and ICE, as well as current and prospective issuers of ETFs, ETPs, Closed...