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1940 Act Jobs in Sandy

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United States
Posted On Aug 11, 26
Full-time 1 views Experience : 10-20 yrs required
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance

and applicable registered investment companies. - Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and 38a-1 under the Advisers Act and Investment Company Act. ... - Conduct annual compliance... reviews and present findings, risk assessments, and program effec...

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Posted On Aug 12, 26
Full-time 2 views Experience : 10-20 yrs required
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance

investment adviser and applicable registered investment companies. - Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and 38a-1 under the Advisers Act and Investment Company Act. -... Conduct annual compliance reviews... and present findings, risk assessments, and program effective...

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Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

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Corporate Associate The candidate must have 3-5 years of experience. Have a general corporate background with specific experience advising investment management companies, assisting with fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940 and Investment Company Act... of 1940, as well as other... relevan... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Corporate Associate The candidate must have 3-5 years of experience. Should preferably have a general corporate background with specific experience advising investment management companies, assisting with fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940 and Investment Company Act... of 1940, as wel... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

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