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Investment Advisers Act Of 1940 Jobs in Pinellas Park

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United States
Posted On Jul 22, 26
Full-time 2 views Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

under Rule 38a-1 and Rule 206(4)-7. - Monitor compliance with SEC regulations, Investment Advisers Act requirements, fund... governance standards, and internal policies. - Assist in developing, maintaining, and enhancing compliance policies and procedures. - Monitor regulatory developments and assess their impact on t...

Posted On Jul 28, 26
Full-time 1 views Experience : 5-8 yrs required
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital
Job Tags:
Capital Markets capital raising Disability Benefits equity ETFs finance Insurance Investment Advisers Act of 1940 marketing partnerships private equity regulatory compliance Venture Capital

Rule 38a-1 of the Investment Company Act of 1940. ... Monitor compliance with applicable SEC regulations, Investment Advisers Act requirements, fund... governing documents, and internal policies. - Assist in the development, maintenance, and enhancement of compliance policies and procedures. - Mo...

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The following jobs are no longer active but were real openings previously posted by employers.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

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

Associate Corp Counsel II - ERISA / 40 Act-1100829 Description Job... Summary: Under general direction with a moderate level of autonomy, uses extensive knowledge and skills obtained through education and experience, to provide legal advice and counsel regarding ERISA, the Internal Revenue Code, the Securities Act of 1933 and the... Securities Exchange Act of 1934, the Investment... Adviser's Act of 1940,... as well... as the Investment Company Act of 1940,... with respect... to retirement... 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

Associate General Counsel - ERISA/ 40 Act Duties: Under general... direction with a moderate level of autonomy, uses extensive knowledge and skills obtained through education and experience, to provide legal advice and counsel regarding ERISA, the Internal Revenue Code, the Securities Act of 1933 and the... Securities Exchange Act of 1934, the Investment... Adviser’s Act of 1940,... as well... as the Investment Company Act of 1940,... with respect... to retirement products and services offer... 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

General Counsel The candidate will provide legal advice regarding Title I of ERISA and the Internal Revenue Code (IRC) with respect to ERISA covered and non-ERISA retirement plans and IRAs, and products and services offered to such clients under relevant Department of Labor and IRC regulations. Lead and participate in firm wide and other projects related to such initiatives as implementation of regulations, developing business products/services, and remediations. C... 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

Associate Corporate Counsel III- ERISA/ 40 Act Duties: Under general... direction with a moderate level of autonomy, use extensive knowledge and skills obtained through education and experience, to provide legal advice and counsel regarding ERISA, the Internal Revenue Code, the Securities Act of 1933 and the... Securities Exchange Act of 1934, the Investment... Adviser’s Act of 1940,... as well... as the Investment Company Act of 1940,... with respect... to retirement products and services 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

Senior Counsel Responsibilities: Provide legal, regulatory and policy advice to senior management, front office personnel, and control functions on matters related to the North America (NAM) investment management accounts, products and... services offered through Citi Global Wealth Investments. Provide day-to-day legal support of the investment management business, including matters... related to investment management account agreements and... enrollment documents, investment policy... 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

Seeking an Associate Corporate Counsel with 10+ years of experience. Candidate must have financial securities regulatory experience, with SEC Division of Investment Management experience. Familiarity with... the Investment Advisers Act of 1940,... Investment Company Act of 1940,... and related securities and... regulatory laws is essential. Expertise in handling inquires and investigation from authorities governing Self Regulating Organization (SRO) entities is needed.... 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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