- 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 (Los Angeles, CA)
- …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