- 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
- 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
- BlackRock (New York, NY)
- …We are seeking an attorney to join BlackRock's US Legal team, focusing on 1940 Act -regulated funds engaged in alternative strategies-such as private credit and ... services firm is a plus. Strong familiarity with the Investment Company Act of 1940 and registered funds generally is highly recommended. + Exposure to work… 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 (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