Post Jobs Upload Your Resume Log in

Registered Investment Companies Jobs in Bountiful

1 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. Utah
  4. Bountiful
  5. Registered Investment Companies

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Create a Job Alert for this Search

United States
Posted On Aug 11, 26
Full-time 2 views Experience : 10-20 yrs required
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance
Job Tags:
1940 Act advertising asset management corporate compliance due diligence entertainment equity ETFs Ethics finance FINRA Investment Advisers Act of 1940 Investment Company Act lending marketing Mutual Funds registered investment companies regulatory compliance

Compliance Officer for Keystone's registered investment adviser and applicable... registered investment companies. - Maintain... to Rules 206(4)-7 and 38a-1 under the Advisers Act and Investment Company Act. - Conduct... annual compliance reviews and present findings, risk assessments, and program effec...

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The following jobs are no longer active but were real openings previously posted by employers.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

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

Investment Funds, Registered Funds Associate The candidate... will work in the Registered Funds practice of the... Investment Funds Group, specializing in... the representation of registered investment companies, their sponsors,... and/or... their independent board members. Must have 1-5 years of experience working as an associate in the Investment Funds practice of a... global law firm. Should have advised on transactional matters in connection with forming, structuring and advising open-end... 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

Temporary Attorney Adviser, SK 13-14 Duties: The candidate will be conducting examinations in one of the Division of Examination's programs within a regional office or headquarters, with an emphasis on the review of registered investment companies, investment advisers,... broker-dealers, and clearing agencies, (collectively registrants); and/or understanding registrants' preparedness for specific threats and market events. Planning and conducting examinations; analyzing transac... 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

ATTORNEY ADVISER Securities and Exchange Commission Division of Examinations Summary The Event and Emerging Risk Examination Team (EERT) is hiring a Supervisory Securities Compliance Examiner. The position will oversee a team responsible for working with key stakeholders to develop strategic theme and event-based analyses to identify and address exigent threats, incidents, and emerging risks through examinations. This job is open to Internal to an agenc... 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

Chief Compliance Officer, Investments The candidate responsible for developing and monitoring broker dealer, RIA and Insurance compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff; and reviewing prospectuses, applications, and advertising materials. It is also ex... 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

Principal IP Legal Counsel The candidate will provide intellectual property legal support to the Surgical Innovations and Coronary Renal Denervation operating units (OUs). Will manage the creation, communication, and effective execution of the IP strategy and support the OU on all aspects of IP support. Develop and implement a global patent portfolio strategy; oversee the preparation and prosecution of patent applications and patent maintenance decisions in support of... 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 be responsible for providing strategic and tactical legal support to the Company Invest line of business. The Invest AGC will support the Company Invest team responsible for growing and supporting the existing self-directed brokerage and robo-advisor products and for developing new business strategies to provide comprehensive wealth management services. The Invest AGC will be responsible for providing legal support for all aspects... 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 Counsel The candidate will assist across all legal matters for the firm’s global operations and transactions, including fund formation, capital raising, securities regulation compliance, real estate transactions and other fund investment matters, and general company... legal matters. Under direction of the General Counsel, oversee legal matters for the global business, including advising on and negotiating corporate transactional matters, supervising outside counsel a... 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 Officer The candidate's duties include: To develop, initiate, maintain and revise policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct; Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends; Assume ultimate responsibility for ensuring that the compan... 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

By Employer Type

Law Firm
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend