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Investment Advisers Act Of 1940 Jobs in Foothill Ranch

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United States
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,...

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The following jobs are no longer active but were real openings previously posted by employers.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.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

Compliance Director - Investment Advisory The candidate will... provide investment advisory compliance coverage for... company's Personal Wealth Management (PWM) and company's Personal Investments (PII) activities operating under the Group. Will provide specialist support/advice to business/product management staff to facilitate appropriate and effective compliance with 1940 Act registered investment adviser regulations, Group's fiduciary... policy, and other relevant Group policies.... 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Note: This job is no longer active.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

Registered Funds Midlevel Associate The candidate will be a part of an exciting global Asset Management and Investment Funds practice, work with... a diverse range of premier global clients. Must have 3-5 years of experience with 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 . federal securities laws, particularly the... 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

Registered Funds Senior Associate/Counsel The candidate should have 6-12 years of experience with 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 . federal securities laws, particularly the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... the Securities Act of 1933, the Securities... Exchange Act of 19... 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

Registered Funds Mid-level Associate The candidate should preferably have 3-5 years of experience with 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 of 1940,... the Securities Act of 1933, the Securities... Exchange 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

Compliance Analyst The candidate will support investment adviser compliance programs. Will... have diverse assignments, assisting in the oversight of all aspects of an investment advisory compliance program for... a SEC-registered investment adviser and NFA-registered commodity... pool operator and commodity trading adviser. Assist in the design, day-to-day implementation, testing, and execution of a compliance program which adheres to Rule 206(4)-7 of the Investment Advisors Act of ...... 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

an AmLaw firm seeks investment funds regulatory associate attorney... fund advisers and other investment advisory firms on regulatory... all aspects of the Investment Advisers Act of 1940.... requirements applicable to registered investment advisers and private funds,... including 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

Investment Funds Regulatory The candidate... must have 3-7+ years of experience advising private fund advisers and other investment advisory firms on regulatory... matters. Expertise in all aspects of the Investment Advisers Act of 1940... is essential. Must have broader experience with other regulatory requirements applicable to registered investment advisers and private funds,... including the Investment Company Act of 1940.... Must have strong writing... and analytical skills and top acade... 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 194...... 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

closed-end 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

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... 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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