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Investment Advisers Act Of 1940 Jobs in Manhattan Beach

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United States
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...

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Posted On Sep 11, 26
Full-time 1 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,...

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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...

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Posted On Jul 29, 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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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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Senior Counsel The candidate will develop expertise in firm’s business and the relevant laws and regulations so that you can provide actionable, proactive, practical and sound legal advice to your business and compliance partners. Will work on a wide range of business matters including investment adviser and broker-dealer regulatory... compliance (with preference given to candidates with experience related to the Investment Advisers Act of 1940... and ERISA), foundational corpor...... 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

Senior Counsel The candidate will develop expertise in firm’s business and the relevant laws and regulations so that you can provide actionable, proactive, practical and sound legal advice to your business and compliance partners. Will work on a wide range of business matters including investment adviser and broker-dealer regulatory... compliance (with preference given to candidates with experience related to the Investment Advisers Act of 1940... and ERISA), foundational corpor...... 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

The candidate will review and prepare regulatory responses and documents. Will interact with State and Federal Regulators, as needed, under supervision of more experienced attorneys. Interact with outside counsel under supervision of more experienced attorneys. Participate in business and planning meetings with the ability to offer practical legal advice. Perform legal research. Must have a JD degree with a good academic background and member of the California Bar, 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

Counsel Duties: Provides comprehensive broker-dealer services, innovative technology, and competitive advisory programs for independent financial professionals and financial institutions associated with its independently managed broker-dealers and investment advisers. Join a group... of highly experienced lawyers who have corporate, litigation, broker-dealer and investment advisory practices. This opportunity... is right for an attorney with a solid basis in the Investment Advis... 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 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

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

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

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

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

Job Title Investment Compliance Coordinator Location Manhattan... Beach, CA Investment Compliance Manager Growing... investment management company in the... South bay is seeking a Compliance Manager who will be responsible for administering the Company's compliance program under various regulatory regimes, including the Investment Advisers Act of 1940,... and under internal company... policies. Responsibilities for Compliance Manager: -Will report to the Company's two senior in... 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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