- Fidelity Investments (San Francisco, CA)
- … 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
- Fidelity Investments (Redmond, WA)
- … 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
- Fidelity Investments (Boston, MA)
- … 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)
- … 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)
- … 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)
- …applicable to US investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers ... new and evolving regulatory requirements Maintain an understanding of investment company , broker-dealer, and investment ...or global asset manager, with a focus on '40 Act products Demonstrated experience managing people and processes is… 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 ... industry and knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act… more
- Fidelity Investments (Roanoke, TX)
- … 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
- Fidelity Investments (Tampa, FL)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... Bring Ability to thoughtfully introduce your clients to different investment strategies and bring together additional client assets while...your clients while making a positive impact in the community Certifications: Series 07 - FINRA, Series 63 -… more
- Realty Income (San Diego, CA)
- …regulated entity in the USA. Deep experience and expertise in US Funds / Financial Services (eg Investment Company Act of 1940, as well as Securities Act ... we take. Our employees consistently invest their time, commitment, and dedication into the company , and in turn, they receive investment returns in the form of… more
- Fidelity Investments (Jersey City, NJ)
- … 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)
- … 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 ... 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)
- … 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
- Fidelity Investments (Boston, MA)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... and enhancements based on customer needs, market demands, and company objectives using Google analytics, Adobe analytics, Tableau, Salesforce...investment and retirement-related financial activities and the rules and… more
- Huxley (Glenview, IL)
- …Bar 5-10 Years of Legal and Compliance Experience Expert in the Investment Company and Investment Adviser Act of 1940 Proven experience advising on ... Huxley is currently partnered with a well-established financial services company in the Northern Chicago Suburbs. This is a...that will report into the Head of Legal. This company works a hybrid schedule. This is a new… more
- Fidelity Investments (Merrimack, NH)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those… more
- Fidelity Investments (Salt Lake City, UT)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those… more
- Fidelity Investments (Roanoke, TX)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those… more
- Fidelity Investments (Boston, MA)
- … Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, ... investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those… more
