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Investment Advisers Act Of 1940 Jobs in Matteson

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United States
Posted On Sep 11, 26
Full-time 10 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws shareholders Venture Capital
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws shareholders Venture Capital

candidate will join the Investment Services team at the... and participating in business development and client-facing activities. The candidate will handle a diverse and multidisciplinary practice, primarily focusing on: - Working with SEC-registered investment advisers and private investment... funds, includi...

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Posted On Sep 10, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Finance - General Finance - Financial Services Regulation Corporate - General
Job Tags:
Insurance Investment Advisers Act of 1940 Joint Ventures private equity
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Finance - General Finance - Financial Services Regulation Corporate - General
Job Tags:
Insurance Investment Advisers Act of 1940 Joint Ventures private equity

associate will join the Investment Strategies & Capital Solutions... group at the law firm. Key responsibilities include representing private equity clients across various industry verticals and engaging in transactional matters. These matters involve structuring joint ventures and pooled-investment vehicles for...

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Posted On Sep 11, 26
Full-time 40 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws Venture Capital
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
child Disability Benefits family Investment Advisers Act of 1940 M&A mergers private equity Retirement Planning Securities Act of 1933 securities laws Venture Capital

associate to join its Investment Services team in either... responsible for providing legal services primarily focused on corporate and securities law. Key responsibilities include: - Working with SEC-registered investment advisers and private investment... funds, including private equity,... venture capital, real e...

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Posted On Aug 11, 26
Full-time 4 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management corporate transactions criminal enforcement proceedings family federal government Financial Institutions fund formation hedge funds Investment Advisers Act of 1940 Investment Company Act Litigation private equity Securities spectrum white collar
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management corporate transactions criminal enforcement proceedings family federal government Financial Institutions fund formation hedge funds Investment Advisers Act of 1940 Investment Company Act Litigation private equity Securities spectrum white collar

Associate - Corporate - Investment Funds Regulatory Job Responsibilities: The... an Associate in the Investment Funds Regulatory Practice involves... and compliance advice to investment advisers, family offices, and... other financial institutions globally. The responsibilities include: - Advising on the operation and management...

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Posted On Sep 01, 26
Full-time 3 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933

company’s business professionals on investment management, mutual fund, ETF,... and CIT legal and regulatory compliance. - Assist with SEC filings, including the annual update of fund registration statements and prospectus supplement filings. - Prepare board meeting materials for the company funds’ Board...

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Posted On Sep 07, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements board of directors contracts ETFs Investment Advisers Act of 1940 investment management regulatory compliance SEC filings Securities Act of 1933 title

Compliance Team. Key duties include advising business professionals on investment management, mutual funds, ETFs,... and CIT legal and regulatory compliance. The role involves preparing SEC filings, including annual updates of fund registration statements and prospectus supplement filings, and preparing board...

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Posted On Sep 09, 26
Full-time 1 views Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

legal documents such as investment management agreements, sub-advisory agreements,... side letters, subscription documents, and various amendments across different account structures and transactions. - Assist in the preparation, review, and maintenance of template agreements, form documentation, legal playbooks, desk procedures...

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Posted On Sep 10, 26
Full-time 3 views Experience : 2-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management contracts corporate contracts due diligence ERISA health benefits health insurance indemnity Insurance Investment Advisers Act of 1940 investment management pension pension plans Securities Securities Act of 1933

drafting, negotiating, and maintaining investment management agreements, sub-advisory agreements,... side letters, subscription documents, various amendments, and other legal documents across diverse account structures and transactions. - Assist in the preparation, review, and maintenance of template agreements, form documentation, legal playbooks, desk...

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Posted On Jul 13, 26
Full-time 2 views Experience : 1-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
AML entertainment Ethics finance Investment Advisers Act of 1940 investment management Securities special projects title
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
AML entertainment Ethics finance Investment Advisers Act of 1940 investment management Securities special projects title

Senior SMA Compliance Examiner Investment Management Job Responsibilities: - Assist... advisory business for affiliated investment advisers. - Focus on... portfolio monitoring, testing, and compliance with company policies and federal securities regulations. - Monitor individual portfolios and transactions, client onboarding, compliance monitoring,...

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Posted On Aug 21, 26
Full-time 1 views Experience : Min 8 yrs required
Job Tags:
advertising agreements AML asset management corporate governance due diligence financial services regulatory Investment Advisers Act of 1940 Privacy regulatory compliance securities laws special projects
Job Tags:
advertising agreements AML asset management corporate governance due diligence financial services regulatory Investment Advisers Act of 1940 Privacy regulatory compliance securities laws special projects

Information Job Title: Compliance Officer Department: Legal & Compliance Job Responsibilities The Compliance Officer is responsible for managing certain aspects of the company's compliance program. This role requires a comprehensive understanding of the company's products, services, and regulatory framework. The Compliance Officer will lead...

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Posted On Sep 07, 26
Full-time 2 views
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects
Job Tags:
advertising agreements Collective Bargaining equity hedge funds Insurance Investment Advisers Act of 1940 marketing Privacy private equity Securities special projects

various regulations, including the Investment Advisers Act of 1940... and the Investment Company Act of 1940... rules and regulations. - Review,... analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC. - Review marketing materials, including advertising, sales...

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Posted On Sep 23, 26
Full-time 2 views Experience : 1-3 yrs required
Job Tags:
Bribery collateralized loan obligations commercial real estate crime distressed debt economic sanctions entertainment finance FINRA fraud health benefits Investment Advisers Act of 1940 Money Laundering private equity Securities spectrum
Job Tags:
Bribery collateralized loan obligations commercial real estate crime distressed debt economic sanctions entertainment finance FINRA fraud health benefits Investment Advisers Act of 1940 Money Laundering private equity Securities spectrum

oversight of the firm's investment activities, including monitoring client... portfolio investment guidelines using the Aladdin... system. - Support routine investment compliance monitoring activities and... firm's Compliance plan. - Communicate with the Trading Desk and Portfolio Management teams regarding investment guidelin...

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Posted On Aug 16, 26
Full-time 86 views Experience : 2-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Asset/Investment Management

guidance to clients on matters related to registered investment companies, including mutual funds,... ETFs, closed-end funds, interval funds, tender offer funds, and business development companies. They will also advise investment advisers on business and... regulatory matters, collaborating closely with clients,...

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