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Registered Investment Companies Jobs in North Oaks

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United States
Posted On Jun 26, 26
Full-time 11 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior... for the distribution of registered investment companies and private... investment... funds within the Wealth... and Investment Management division at the... distribution of mutual funds, ETFs, and other registered products, ensuring complian...

Posted On Aug 12, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

the Columbia Threadneedle Investments registered investment companies by performing... ongoing legal and regulatory activities under the direction of an attorney. Key duties include: - Coordinating the creation, updating, and filing of registration statement post-effective amendments containing prospectuses and statements of...

Posted On Sep 17, 26
Full-time 1 views Experience : 1-3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

(SAIs), including annual updates and supplements thereto, and other disclosure documents required by the Investment Company Act of 1940,... Securities Act of 1933, and the Securities Exchange Act of 1934. - Solicit and coordinate input to disclosure documents from business...

Posted On Jul 02, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising artificial intelligence asset management child equity H-1B Immigration Insurance marketing Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising artificial intelligence asset management child equity H-1B Immigration Insurance marketing Securities Act of 1933

with attorney(s) to support registered variable and index-linked annuity... registration statements under the Investment Company Act of 1940... and the Securities Act of 1933. - The candidate must demonstrate competence with the prospectus content management process used to draft, review, and...

Posted On Jul 08, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
1940 Act asset management corporate governance family H-1B Insurance marketing registered investment companies Securities Act of 1933 Securities Exchange Act of 1934 shareholders trusts Visa

the Columbia Threadneedle Investments registered investment companies. The individual... will be responsible for performing ongoing legal and regulatory activities concerning these registered investment companies under the... direction of an attorney. Key responsibilities include: - Coordinating the creation, updating, and filing of...

Posted On Jul 02, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements artificial intelligence asset management Bank Secrecy Act document review equity Ethics family FCPA FINRA Insurance OFAC organizational documents pension Securities special projects stage
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements artificial intelligence asset management Bank Secrecy Act document review equity Ethics family FCPA FINRA Insurance OFAC organizational documents pension Securities special projects stage

division, an investment adviser registered with the Securities and... include: - Coordinating and assisting with the legal review or preparation of client, operational, investment-related, and service provider agreements. -... Preparing organizational documents and regulatory filings for pooled investment vehicles and the ad......

Posted On Sep 18, 26
Full-time
Job Tags:
Computer Science Cybersecurity data privacy Data Protection Privacy Software
Job Tags:
Computer Science Cybersecurity data privacy Data Protection Privacy Software

Title: Advisory Intern, Privacy & Data Protection - Summer 2027 Job Responsibilities: The Privacy & Data Protection Intern is primarily responsible for acquiring foundational knowledge in privacy and data protection risks and engaging in client projects and internal initiatives. The intern will...

Posted On Sep 22, 26
Full-time 2 views
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage
Job Tags:
asset management Bank Secrecy Act corporate trust equity Ethics family FCPA fiduciary FINRA Insurance investment management OFAC pension stage

Title Compliance Quality Assurance Lead Testing Analyst - Fiduciary Oversight and Testing Job Responsibilities The Compliance Quality Assurance (CQA) Lead Analyst is tasked with managing and executing testing activities within the Independent Risk Review and Assessment (IRRA) second line organization....

Posted On Sep 01, 26
Full-time 16 views Experience : 3-5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets CCPA corporate governance due diligence equity Financial Institutions Insurance Privacy private equity regulatory compliance Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets CCPA corporate governance due diligence equity Financial Institutions Insurance Privacy private equity regulatory compliance Securities

firm. The responsibilities include representing issuers, investment banks, investors, and other... market participants in debt, equity, and structured transactions. The associate will assist investment banks with regulatory compliance... and advisory engagements. Key duties involve providing securities law advice and...

Posted On Aug 24, 26
Full-time Experience : Min 4 yrs required
Practice Area:
Corporate - Technology Transactions Data Privacy - Transactional Intellectual Property - General IP_ - Patent Licensing Physics Electrical Engineering Computer Science Hardware Software Computer Engineering Mechanical Intellectual Property - Patent - Hard Sciences General Corporate - General
Job Tags:
actors artificial intelligence Computer Science Cybersecurity data privacy emerging technologies equity family Identity Theft Insurance Intellectual Property licensing Machine Learning partnerships Patent regulatory compliance Rule of Law Software strategic alliances technology transactions
Practice Area:
Corporate - Technology Transactions Data Privacy - Transactional Intellectual Property - General IP_ - Patent Licensing Physics Electrical Engineering Computer Science Hardware Software Computer Engineering Mechanical Intellectual Property - Patent - Hard Sciences General Corporate - General
Job Tags:
actors artificial intelligence Computer Science Cybersecurity data privacy emerging technologies equity family Identity Theft Insurance Intellectual Property licensing Machine Learning partnerships Patent regulatory compliance Rule of Law Software strategic alliances technology transactions

Title: Senior Counsel, Engineering & Technology Job Responsibilities: - Provide practical legal counsel on engineering initiatives, emerging technologies, and strategic technology investments. - Advise engineering and technology partners on legal issues throughout the technology development lifecycle, from concept through deployment, for new platforms,...

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