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Investment Advisers Act Of 1940 Jobs in City Of Industry

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  3. California
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  5. Investment Advisers Act Of 1940

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United States
Posted On Sep 23, 26
Full-time Experience : Min 7 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General

and Private Real Estate Investment Fund Formation Job Responsibilities: - Assist... Securities Act of 1933, Investment Advisers Act of 1940,... and Investment Company Act of 1940. -... Represent venture capitalists, private... equity firms, hedge fund managers, and family offices in various transactions. - Handl...

Posted On Jul 29, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Administrative Law 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 Administrative Law 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: Attorney - Operations, Technology and Regulatory Team Job Responsibilities: - Provide legal advice and strategic counsel on prudential banking regulation, corporate activities, investments, affiliate transactions, and new products and services, including innovative products or money movement solutions like stablecoins and digital...

Posted On Sep 11, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government / Public Law 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 / Public Law 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 Senior Associate General Counsel at the company will play a crucial role in providing legal advice and strategic counsel to the bank, particularly in the context of prudential banking regulation,...

Posted On Aug 05, 26
Full-time 1 views
Job Tags:
asset management crime Ethics FINRA Insurance Investment Company Act private equity spectrum
Job Tags:
asset management crime Ethics FINRA Insurance Investment Company Act private equity spectrum

Title Compliance Associate Vice President Job Responsibilities - Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies. - Identify and analyze conflicts arising from employee personal trading, private investments, and...

Posted On Sep 23, 26
Full-time 20 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 pension Securities Act of 1933 securities laws spectrum trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance
Job Tags:
Affirmative Action agreements contracts employee benefits ERISA ETFs family Insurance Investment Advisers Act of 1940 pension Securities Act of 1933 securities laws spectrum trusts wealth management

registered funds and collective investment trusts, ensuring compliance with... all applicable regulatory requirements. - Draft, review, and negotiate a wide array of agreements related to fund distribution, operations, platform onboarding, and service provider engagements. - Advise internal partners on complex legal, regulatory,...

Posted On Aug 08, 26
Full-time 34 views Experience : 2-10 yrs required
Practice Area:
Corporate - Asset/Investment Management
Practice Area:
Corporate - Asset/Investment Management

attorney to join its Investment Funds Group, focusing on... Registered Funds and Business Development Companies (BDCs). The ideal candidate will have 3 to 5 years of experience advising on a variety of retail fund structures, including traditional and alternative registered...

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