- Fidelity Investments (San Francisco, CA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... The Department Strategic Advisers, LLC (SAI) is a registered investment advisor and wholly owned subsidiary of FMR LLC...and wholly owned subsidiary of FMR LLC that provides investment management services to clients through Fidelity's retail and… more
- New York Life Insurance Co (New York, NY)
- …of New York Life Insurance Company , you are joining a global investment company with a long history and passion for career development, innovation, ... that goes beyond life insurance. As a Fortune 100 company and industry leader, we provide an environment where...New York Life Investments, part of a $600+ billion investment management organization is seeking to add an … more
- Fidelity Investments (Redmond, WA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... Job Description: Investment Consultant You joined the financial services industry...your focus to remain where it matters most: providing investment solutions and growing relationships with a dedicated local… more
- J Harlan Group, LLC (New York, NY)
- …services. Develop and improve methods for measuring the impact of business, investment and portfolio company content driven campaigns. Establish measurement ... with a fresh perspective and who is passionate about solving complex business, investment and portfolio company data and technical challenges. Working with… more
- Fidelity Investments (Boston, MA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... the management and development of quantitative and hybrid quant/fundamental investment strategies and solutions while providing high quality quantitative,… more
- Fidelity Investments (Boston, MA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... income and alternative funds and accounts to ensure that their investment policy limitations are followed Communicating client, regulatory, prospectus, Board, and… more
- Fidelity Investments (Merrimack, NH)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... the management and development of quantitative and hybrid quant/fundamental investment strategies and solutions while providing high quality quantitative,… more
- PIMCO (New York, NY)
- …program to new and evolving regulatory requirements Maintain an understanding of investment company , broker-dealer, and investment advisory compliance ... to US investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules A… more
- Harbor Capital Advisors, Inc. (Chicago, IL)
- …strong academic credentials Mid-level attorney with at least four years of experience with the Investment Company Act of 1940 and Investment Advisers Act of ... industry and knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, and… more
- Fidelity Investments (Roanoke, TX)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... or compliance Deep understanding of regulatory requirements applicable to registered investment advisers and registered investment companies Understanding of… more
- Massachusetts Mutual Life Insurance Company (MassMutual) (Boston, MA)
- …enhancements and conversion CPA, CFA or equivalent designations Experience in investment GAAP accounting Experience in insurance company Statutory accounting ... Investment Accountant - Strategic Programs Investments and Corporate...will work collaboratively and with determination to leave the company in a better place than you found it.… more
- Fidelity Investments (Tampa, FL)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... Skills You Bring Ability to thoughtfully introduce your clients to different investment strategies and bring together additional client assets while engaging in… more
- Equitable (Charlotte, NC)
- …This is a unique opportunity to assume a leadership position with a successful Investment company that is well-positioned for its next growth phase. The National ... Manager will cultivate a high-performance, results-oriented culture rooted in the company core values of accountability, transparency, innovation, and grit. Key Job… more
- Realty Income (San Diego, CA)
- …in the USA. Deep experience and expertise in US Funds / Financial Services (eg Investment Company Act of 1940, as well as Securities Act of 1933, Securities ... consistently invest their time, commitment, and dedication into the company , and in turn, they receive investment ...the company , and in turn, they receive investment returns in the form of purpose, belonging, and… more
- Fidelity Investments (Jersey City, NJ)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... clients including but not limited to banks, broker/dealers, hedge funds, registered investment advisers and corporations. The Expertise You Have Bachelor's degree in… more
- Fidelity Investments (Boston, MA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... for the Firm. We are part of the larger Fidelity Fund and Investment Operations business unit supporting the acquisition, management, dissemination, and use of data… more
- Partners Group (New York, NY)
- …asset management Bachelor's Degree Knowledge of the Investment Advisers Act of '40, Investment Company Act of '40, Securities Act of '33, and applicable US ... team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian… more
- Fidelity Investments (Boston, MA)
- …Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... leadership for Fidelity Institutional business unit. Fidelity Institutional provides investment insights, strategies and solutions, as well as trading...investment and retirement-related financial activities and the rules and… more
- CCG Business Solutions, LLC (Washington, DC)
- …and commodities regulations, preferably with a focus on fintech companies. Knowledge of investment company status issues is also helpful. We can train for ... Company Description CCG Talent Management is a business...contribute to strategic securities law counselling for launching new investment products and platforms. They will also provide more… more
- REI Game Changers LLC (Charleston, SC)
- …want you on our team! About Us: We are a family-owned real estate investment company based in Charleston, South Carolina, specializing in wholesale property ... to help us source, negotiate, and close real estate investment deals. You will be the key contact for...for investors to expand their portfolios. We're a results-oriented company seeking top-performing salespeople to join our team and… more
