- JPMorgan Chase (Chicago, IL)
- …to operationally intensive businesses + Familiarity with US securities laws, ERISA, Investment Company Act of 1940 , Investment Advisers Act of 1940 ... matters. As a Securities Services ERISA Attorney - Vice President, Assistant General Counsel on our Security Services team, you will provide legal support to the… more
- Aristotle Capital Management (Newport Beach, CA)
- …to the business. + Liaise and interact with members of the firm, including senior management, external counsel and clients. What You Will Need: + 1-3 ... Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does not imply a certain… more
- Jackson National Life Insurance Company (Lansing, MI)
- …laws (Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940 , and/or Investment Advisers Act of 1940 ) required. ... and compliance efforts as requested, and supporting the Associate General Counsel , Regulatory Affairs. **Essential Responsibilities** + Conduct general and complex… more
- US Bank (Milwaukee, WI)
- …+ Testing portfolio compliance to ensure fund adherence to the Investment Company Act of 1940 , stated prospectus limitations and internal revenue code ... communicate effectively with investment advisor clients. + Assisting mid-level and senior -level Mutual Fund Administrators in the coordination of ad-hoc projects… more