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Investment Advisers Act Of 1940 Jobs in Maple Grove

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United States
Posted On Jun 26, 26
Full-time 11 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior... the distribution of registered investment companies and private investment... funds within the Wealth... and Investment Management division at the... company. Key responsibilities include: - Advising on the distribution of mutual funds, ETFs,...

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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 Contracts 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 Contracts 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 role of Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel involves providing comprehensive legal counsel and strategic advice on a range of complex issues intersecting banking regulation,...

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Investment Management Associate The candidate... should have 3 years of experience in the Investment Company Act of 1940,... the Investment Advisers Act of 1940,... the Securities Act of 1933, the Securities... Exchange Act of 1934, and related... regulations. Should have experience representing registered investment companies, private funds and... investment advisers, including the preparation... and review of registration statements and offering documents, board meeting materials, investment m... 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

Legal Counsel The candidate will work closely with senior management of the Global Asset Management (.) Inc. and their functional support groups to provide legal support for a broad range of areas including strategic business initiatives and legal risk issues pertaining to the business. Coordinate external legal services to ensure cost-effective and efficient service delivery to the business. Provide advice and support relating to overall strategy, launch and ongoi... 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

Salary Competitive # Associate Counsel - Advice and Wealth Management Ameriprise Financial Services LLC is offering an exciting opportunity for a licensed attorney to become an integral part of the GCO Advice and Wealth Management Practice Group, supporting Retail Investment Advice offerings. This high... visibility legal position will provide advice on cutting edge, innovative products and services that represent the core value proposition of the company. ## Job Res... 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

IV The candidate will provide senior level legal support to the business units within company. Will play a key role in reviewing and assessing the legal and strategic framework within which these products are offered to clients. Will also coordinate with other attorneys on the team on the day-to-day legal support for the distribution and offering products. Report to the Managing Counsel for the WIM Investments Center of Excellence. Must have 8+ years of experience as... 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

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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 Asset Management Counsel Duties: Federal securities laws and regulations applicable to asset managers, including the Investment Company and Investment Advisers... Acts of 1940. The Commodity Exchange Act and related regulations of... the CFTC and NFA applicable to commodity pool operators and commodity trading advisors. Negotiation of investment management agreements for institutional... separate accounts and sub-advisory mandates. Trading agreements, including ISDAs. Regulati... 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

Ability to work independently and as part of a team Salary Information: The salary for this role is competitive and commensurate with experience and qualifications. # Senior Counsel - WIM, Alternative Investments ## Job Summary 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

Hybrid ## Senior Counsel - Variable Product Funds, ETFs and Investment Advisor Hybrid ... **Members Only.** Life’s corporate headquarters in Minneapolis, Minnesota and will work in a hybrid environment with approximately 60% percent of time spent in the office. You will report to the VP Deputy General Counsel Corporate & Product. ### Responsibilitie... 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

Disability and Life Insurance Employee Assistance Program Employee Stock Purchase Program Lead Counsel – Wealth and Investment Management Investment Solutions ... 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

Salary Grade Salary commensurate with experience # Counsel -- Asset Management Ameriprise Financial is currently seeking an experienced attorney to join its team of attorneys and paralegals dedicated to supporting Columbia Threadneedle Investments’ management of its 180 mutual funds, ETFs, closed-end funds, and Collective Investment Trust (CIT) Funds. This... position offers a competitive salary commensurate with experience. ## Key Responsibilities - Manage day-to... 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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