- BlackRock (New York, NY)
- …are seeking a highly motivated professional to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines ... regulatory requirements and applicable BlackRock policies and procedures relating to 1940 Act products. The individual will provide compliance support to key… more
- JPMorgan Chase (Jersey City, NJ)
- Join JPMorgan Chase & Co.'s esteemed Legal Department as a Vice President and Assistant General Counsel. Support our Private Bank / Wealth Management Investment ... As a GPB Wealth Management Investment Solutions Attorney - Vice President , Assistant General Counsel in the...counsel registration rules. + Knowledge of the Investment Advisers Act of 1940 and relevant aspects of… more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President in the Credit Department with solid foundation in accounting ... risk in various transactions with financial institutions in the Americas. The Vice President 's main responsibility entails the review of credit applications… more
- JPMorgan Chase (New York, NY)
- …third-party issuers. **Job Summary** As the Alternatives Solutions Fund Implementation Vice President within the Global Alternatives Investment Solutions team, ... bonds, loans, structured products, and derivatives. + General knowledge of the 1940 Act and European fund regulation as well as regulatory reporting requirements… more
- JPMorgan Chase (New York, NY)
- …control-related function, including knowledge of, and experience with, the Investment Advisers Act of 1940 + Effective Communication Skills: Must possess ... of, and experience with, additional regulations including ERISA, the Investment Company Act of 1940 , and 12 CFR Part 9 preferred + Experience using Python, AI,… more
- BlackRock (Atlanta, GA)
- …of a leading financial services firm. + Experience with the Investment Advisers Act of 1940 is required. Experience with FINRA strongly recommended. Familiarity ... with other US federal securities laws, such the Investment Company Act of 1940 , and related regulatory areas such as ERISA is beneficial but not required. +… more
- BlackRock (New York, NY)
- …a variety of regulatory issues affecting the BlackRock product platform, including Investment Company Act of 1940 , Securities and Exchange Act of 1934, ... involving different business groups and multiple products. **Primary Responsibilities** + Act as transaction counsel on all US distressed investments, manage… more
- Raymond James Financial, Inc. (New York, NY)
- …of** + Advanced investment concepts and securities industry procedures. + Investment Company Act of 1940 and SEC regulatory environment. + Financial advisor ... business models and supervisory needs. **Skill in** + Strategic and analytical thinking to align regulatory, firm, advisor, and client needs. + Establishing KPIs and linking them to business outcomes. + Building and maintaining collaborative relationships… more
- JPMorgan Chase (Chicago, IL)
- …a law firm or investment management firm. + Expertise in the Investment Company Act of 1940 . + Strong leadership, analytical, and problem-solving skills. + ... Proven ability to manage multiple complex projects simultaneously. + Excellent business judgment and strategic thinking. + Effective communication skills at all business levels. + Ability to work collaboratively across departments. + JD or educational… more
- Aristotle Capital Management (Los Angeles, CA)
- …a culture focused on research, investment management and client success. What You'll Do The Vice President of Market Data Management will play a pivotal role in ... deployment of market data resources across the firm. The Vice President of Market Data Management will...independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does… more
- Aristotle Capital Management (Newport Beach, CA)
- …collaborative approach, this is a hands-on position which will report to the Vice President , Performance & Analytics. Key Responsibilities: + Oversee performance ... our employees. + We are respectful. + We value community . Location: Hybrid - Newport Beach, CA Compensation Range:...independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does… more