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Etfs 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

Title: Chief Compliance Officer Job Responsibilities: 1. Compliance Leadership & Governance: - Serve as the designated Chief Compliance Officer for Keystone's registered investment adviser and applicable registered investment companies. - Maintain and oversee the firm's compliance program pursuant to Rules 206(4)-7 and...

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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

Title: Chief Compliance Officer Job Responsibilities: Compliance Leadership & Governance - Serve as the designated Chief Compliance Officer for the company's registered 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...

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Funds, Registered Funds Associate The candidate will work in the Registered Funds practice of the Investment Funds Group, specializing in the representation of registered investment companies, their sponsors, and/or their independent board members. Must have 1-5 years of experience working as an associate in the Investment Funds practice of a global law firm. Should have advised on transactional matters in connection with forming, structuring and advising open-end... 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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