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1940 Act Jobs in North Oaks

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United States
Posted On Jul 02, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising artificial intelligence asset management child equity H-1B Immigration Insurance marketing Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising artificial intelligence asset management child equity H-1B Immigration Insurance marketing Securities Act of 1933

Responsibilities include drafting, reviewing, and revising registration statements under the Investment Company Act of 1940 and the Securities Act... of 1933. - The candidate... must demonstrate competence with the prospectus content management process used to draft, review, and maintain registration s...

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Posted On Jun 26, 26
Full-time 11 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior Counsel role involves providing legal and regulatory support for the distribution of registered investment companies and private investment funds within the Wealth and Investment...

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Posted On Aug 12, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

Title: Paralegal Job Responsibilities: The Paralegal is responsible for supporting the Columbia Threadneedle Investments registered investment companies by performing ongoing legal and regulatory activities under the direction of an attorney. Key duties include: - Coordinating the creation, updating, and filing...

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Posted On Sep 17, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

(SAIs), including annual updates and supplements thereto, and other disclosure documents required by the Investment Company Act of 1940, Securities Act of 1933,... and the Securities Exchange Act of 1934. - Solicit and... coordinate input to disclosure documents from business...

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Posted On Sep 11, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government Contracts Government - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Government and Government Relations Government Contracts Government - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The role of Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel involves providing comprehensive legal counsel and strategic advice on a range of complex issues intersecting banking regulation,...

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Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

Title: Legal Affairs Manager Job Responsibilities: The Legal Affairs Manager at the company will focus primarily on supporting the Columbia Threadneedle Investments registered investment companies. The individual will be responsible for performing ongoing legal and regulatory activities concerning these registered investment companies...

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