- JPMorgan Chase (Chicago, IL)
- …new challenge and a chance to apply your knowledge in a fresh context. As a Vice President - Assistant General Counsel on the Securities Services team, you will ... intensive businesses + Familiarity with US securities laws, ERISA, Investment Company Act of 1940 , Investment Advisers Act of 1940 and/or US… more
- Affinius Capital (San Antonio, TX)
- …characteristics. For more information, visit affiniuscapital.com. **Job Description** The Senior Vice President will work closely with other members of ... and Exchange Commission rules and regulations, including the Securities Act of 1933, the Securities Exchange Act ...and the Investment Company and Investment Advisers Acts of 1940 . + Must possess discretion and sensitivity when working… more
- Aristotle Capital Management (Denver, CO)
- …on research, investment management and client success. We are currently seeking a Senior Vice President , Regional Director - Wealth Management to join our team. ... Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does not imply a certain… more
- BlackRock (New York, NY)
- …BlackRock investment platform, including conflicts of all types as well as the Investment Advisers Act of 1940 , Investment Company Act of 1940 , ... behalf of BlackRock funds and accounts under management. + Act as lead transaction counsel on deals, manage transaction...Securities Act of 1933, Securities and Exchange Act of 1934, etc. + Take initiative to identify… more
- BlackRock (Sausalito, CA)
- …in a fast-paced environment with competing priorities. + Knowledge of the Investment Advisors Act of 1940 is required, + Working knowledge of the Investment ... Company Act of 1940 , the Securities Act of 1933 and the Securities Act of 1934 is preferred. + Prior experience in Compliance, Operations, Contracting,… more
- HUB International (Columbus, OH)
- …least 5-7 years supporting a compliance program under the Investment Advisers Act of 1940 . Experience developing, monitoring and enforcing appropriate policies ... and leaders recognized for their excellence throughout the insurance community . **About HUB Retirement & Private Wealth (RPW):** We...investment advisor rules and regulations, including the Investment Advisors Act of 1940 , and the ability to… more
- BlackRock (Princeton, NJ)
- …with other US federal securities laws, such as CFTC regulations, the Investment Company Act of 1940 , and related regulatory areas such as FINRA and ERISA ... is strongly advantageous but not required. + The candidate should have exceptional analytical, written and verbal communication, strong interpersonal and relationship-building skills, effective contract negotiation skills and drafting experience, and must be… more
- Morgan Stanley (New York, NY)
- Investment Management Coverage Attorney - Vice President Primary Responsibilities >Providing primary legal support for MS, EV, & Calvert 1940 Act ... trends relevant to asset management, including matters arising under the Investment Advisers Act of 1940 , the Investment Company Act of 1940 , the Bank… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking an Assistant General Counsel and Vice President in the Corporate & Investment Banking (CIB) Markets Section of the ... + Significant experience with institutional customers (Banks, Hedge Funds, Investment Managers, 1940 Act Funds, Pension Plans and Insurance Companies) and… more
- Aristotle Capital Management (Newport Beach, CA)
- …focused on research, investment management and client success. We are currently seeking a Vice President Client Service Manager to join our team. The Vice ... of APC's institutional and retail business development team. The Vice President Client Service Manager will be...independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does… more