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Investment Advisers Act Of 1940 Jobs in Sun City

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United States
Posted On Sep 14, 26
Full-time 2 views Experience : 3-6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
asset management Commercial Contracts corporate governance Ethics Investment Advisers Act of 1940 lending NASDAQ organizational documents regulatory compliance SEC filings Software
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
asset management Commercial Contracts corporate governance Ethics Investment Advisers Act of 1940 lending NASDAQ organizational documents regulatory compliance SEC filings Software

Title: Corporate and Compliance Paralegal Job Responsibilities: - Corporate Governance: - Maintain corporate records for the company and its subsidiaries, including minute books, board and committee resolutions, and organizational documents. - Assist with the preparation of materials for board and committee meetings....

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. Bank is hiring an 1940 Act Attorney in Milwaukee, Glendora,... Cincinnati or Remote. The ideal candidate will have at least five years of experience practicing with a law firm, mutual fund or ETF complex, fund servicing organization, investment advisory firm, or applicable... regulatory agency dealing with the Investment Company Act of 1940,... Securities Act... of 1933, Securities Exchange... Act of 1934, and related... rules, regulations, guidance, and practices. Candidates may work rem... 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Note: This job is no longer active.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

Corporate Associate The candidate must have 3-5 years of experience. Should preferably have a general corporate background with specific experience advising investment management companies, assisting with... fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940... and Investment Company Act of 1940,... as wel... 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

Lead Regulatory Administrator The candidate will assist fund clients with the preparation of board minutes, the preparation and maintenance of registration statements, and related filings. Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of 1940... and Securities Act of 1933, and reg...... 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

Financial has been made aware of various fraud schemes, such as advance fee schemes, that are using the Voya name, its trademarks, and/or the name of its employees in emails, letters, and websites in an attempt to solicit fees from unsuspecting victims. Voya does not offer any job opportunities that require an upfront payment, or that promise a job in exchange for a fee. Voya does not require applicants to purchase any items or services in order to apply for... 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

Mid-level Private Funds Associate Attorney The candidate should have solid academic credentials. Must have 4 years of experience. Should have experience in the structuring and formation of private equity funds or venture capital funds and negotiation with limited partners is required. Additional experience with structuring general partner and management companies as well as experience with real estate funds and/or hedge funds is also helpful. Experience with the Investment 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

Corporate Associate The candidate must have 3-5 years of experience. Have a general corporate background with specific experience advising investment management companies, assisting with... fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940... and Investment Company Act of 1940,... as well as other... relevan... 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

Corporate Associate The candidate must have 3-5 years of experience. Have a general corporate background with specific experience advising investment management companies, assisting with... fund formation, and handling compliance and operational securities issues. Experience with venture capital, private equity, and real estate funds is desired. Should have requisite experience with the Investment Advisers Act of 1940... and Investment Company Act of 1940,... as well as other... relevan... 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: Sales and service related legal matters (often complex) arising for family office clients and their advisors. Projects and initiatives to create solutions for family offices. Marketing initiatives designed to drive new family office business. . degree required. Active bar admission required. Must have 7+ years, minimum, of law firm and/or in-house counsel experience required, with a financial services company that includes broker-dea... 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

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