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United States
Posted On Jul 28, 26
Full-time Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

Title: Senior Compliance Officer Job Responsibilities: - Regulatory Compliance: - Support the implementation and ongoing administration of the company's compliance program under Rule 38a-1 of the Investment Company Act of 1940. - Monitor compliance with applicable SEC regulations, Investment Advisers Act requirements,...

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Not Specified Job Title: Director, Managing Counsel - Investment Management North American Distribution Company: BNY Mellon Experience: 10+ Years Location: Lake Mary, FL Overview: BNY Mellon is looking for a Director, Managing Counsel - Investment Management North American Distribution to serve as the lead day-to-day legal advisor for its distribution activities in North America. The ideal candidate will have 10+ years of relevant experience and expe... 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Note: This job is no longer active.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

Assistant General Counsel - Citigroup Citigroup is looking for a qualified senior attorney to join their North America (NAM) legal team and support the global Securities Services business. The role involves providing legal support, advice and guidance to the Fund Services business in the North America and LATAM regions. The ideal candidate will possess excellent contract drafting and negotiation skills and a strong knowledge of the operation and regulation of 1940 Act re... 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Note: This job is no longer active.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

Vice President The candidate will provide advice to investment personnel and business management on legal and regulatory requirements and provide ongoing support to the compliance department and assist with regulatory examinations. Prepare and file open-end, closed-end and ETF SEC registration statements (Forms N-1A, N-2 and N-14), update and file open-end registration statements and prepare, review and/or file related documents (. N-SAR, N-CSR, supplements, sum... 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

open-end (mutual) funds, closed-end funds, and/or exchange-traded funds (ETFs) and experience representing investment... companies, investment advisers, and independent board members on matters arising under US federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act o... 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

open-end (mutual) funds, closed-end funds, and/or exchange-traded funds (ETFs). The candidate should preferably... also have experience representing investment companies, investment advisers, and independent board members on matters arising under US federal securities laws, particularly the Investment Company Act of 1940... 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

funds, and/or exchange-traded funds (ETFs) and experience representing investment... companies, investment advisers, and independent board members on matters arising under . federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities... 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

funds and/or exchange-traded funds (ETFs) and experience representing investment... companies, investment advisers, and independent board members on matters arising under . federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act... 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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