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Investment Advisers Act Of 1940 Jobs in San Leandro

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  5. Investment Advisers Act Of 1940

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United States
Posted On Sep 18, 26
Full-time 6 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
artificial intelligence asset management directors Domestic Violence ETFs fund formation Investment Advisers Act of 1940 Mergers and Acquisitions Mutual Funds Privacy registered investment companies Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
artificial intelligence asset management directors Domestic Violence ETFs fund formation Investment Advisers Act of 1940 Mergers and Acquisitions Mutual Funds Privacy registered investment companies Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

within the Corporate Department, your primary responsibility is to provide comprehensive legal advice and guidance to clients concerning registered investment companies. These include mutual... funds, exchange-traded funds (ETFs), listed closed-end funds, interval funds, tender offer funds, and business development com...

Posted On Sep 08, 26
Full-time 16 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements banking blockchain Capital Markets construction consumer finance cryptocurrency derivatives equity equity financing finance Financial Institutions financial products Insurance insurance coverage Investment Advisers Act of 1940 lending marketing NASDAQ Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements banking blockchain Capital Markets construction consumer finance cryptocurrency derivatives equity equity financing finance Financial Institutions financial products Insurance insurance coverage Investment Advisers Act of 1940 lending marketing NASDAQ Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934

Title: Product Counsel, Crypto Job Responsibilities: - Provide leadership in legal affairs for markets and products, delivering sound advice on federal and state securities, banking, and insurance laws and rules. - Offer day-to-day legal, business, and strategic advice to internal markets-focused teams, addressing...

Posted On Aug 11, 26
Full-time 7 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Administrative Law International Law Government - General Government / Public Law Corporate - General
Job Tags:
artificial intelligence health insurance Insurance Investment Advisers Act of 1940 LLC Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws special projects title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Administrative Law International Law Government - General Government / Public Law Corporate - General
Job Tags:
artificial intelligence health insurance Insurance Investment Advisers Act of 1940 LLC Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws special projects title

department, focusing on supporting investment, advisory, and client service... teams across various regulatory and legal issues. The role is designed for a dynamic and collaborative environment, allowing the candidate to evolve into a well-rounded generalist attorney. Key responsibilities include advising...

Posted On Aug 11, 26
Full-time 6 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
artificial intelligence health insurance Insurance Investment Advisers Act of 1940 Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws special projects title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
artificial intelligence health insurance Insurance Investment Advisers Act of 1940 Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws special projects title

advising various internal teams on compliance with United States securities and investment advisory laws, particularly those... under the Investment Advisers Act of 1940.... The role also extends to supporting securities and investment advisory matters in international... jurisdictions such as t...

Posted On Jul 07, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Ethics finance FINRA Government Securities Exchange Act of 1934 securities laws
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Ethics finance FINRA Government Securities Exchange Act of 1934 securities laws

of regulatory matters, with a focus on broker-dealer and investment adviser regulations. - Respond to... and manage regulatory inquiries and examinations, including overseeing outside counsel. - Monitor and advise on new and emerging laws and regulations affecting the company's business. - Draft and...

Registered Funds Attorney

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Posted On Sep 21, 26
Full-time 3 views Experience : 2-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - Asset/Investment Management Corporate - General

Group in San Francisco. The successful candidate will provide legal advice on matters related to registered investment companies and their advisers,... ensuring compliance with applicable laws and legal counsel on registered investment companies and on... fund formation, registration,...

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