- Morgan Stanley (New York, NY)
- …management, including matters arising under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Bank Holding Company ... * Investment Management Attorney - Vice President* *Primary Responsibilities*...Providing legal support for MS, EV, & Calvert 1940 Act registered equity, fixed income and liquidity funds, ETFs,… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …field. Required Experience: 1+ years relevant experience, including experience at an investment company , bank, endowment, foundation, investment office, or ... Position Summary The Investment Analyst will work closely with the ...funds). Additional Information In compliance with NYC's Pay Transparency Act , the annual base salary range for this position… more
- Highmark Health (Columbus, OH)
- …+ 7 years experience in actively trading investment accounts + 5 years investment experience in an insurance company , investment management firm or ... ** Company :** Highmark Health **Job Description :** **JOB...is responsible for the planning and implementation of the investment strategy for the internally managed fixed income portfolios… more
- Securities and Exchange Commission (Washington, DC)
- …service. Typical duties include: Coordinating review of, and providing expertise regarding, Investment Company Act issues applicable to disclosure documents ... other inquiries regarding digital assets, fintech, and blockchain-related matters arising under the Investment Company Act and its rules. Assisting staff in… more
- Aristotle Capital Management (Los Angeles, CA)
- …of compliance in adherence to the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other regulatory policies. What You Will ... the Investment Advisers Act and Investment Company Act preferred. +...our employees. + We are respectful. + We value community . Compensation Range: $70,000.00 - $97,000.00, plus discretionary bonus.… more
- T. Rowe Price (Owings Mills, MD)
- …funds and ETFs, and their service providers as well as applicable regulations, including the Investment Company Act of 1940 and Investment Advisers ... US Collective Funds, with a primary focus on the Investment Company Act of 1940...each associate and builds allies for our global associate community . We know that a sense of belonging is… more
- Wellington (Boston, MA)
- …+ Driving the continued development and future maintenance and improvements of Wellington's Investment Company Act compliance program, and ongoing support of ... controls, and policy exceptions, regulatory rules, supervision, etc. + Reviewing Investment Company -related regulatory rule proposals, amendments and regulatory… more
- Neuberger Berman (New York, NY)
- …+ JD Required + Working knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940 and the 1933 and 1934 Acts and ERISA rules + ... a leading asset manager that is seeking a Private Equity/ Investment Management Attorney to provide advice, support and research...are allocable to a particular employee remains in the Company 's sole discretion unless and until paid and may… more
- T. Rowe Price (Owings Mills, MD)
- … Advisers Act of 1940 and related regulatory regimes (eg, CFTC, Exchange Act , Investment Company Act ) Preferred: + Attorney with in-house ... with Managing Legal Counsels regarding issues relating to the Investment Advisers Act as well as other...eligible for a discretionary bonus, which is determined upon company and individual performance. Commitment to Diversity, Equity, and… more
- BlackRock (New York, NY)
- …and manage a variety of regulatory issues affecting the BlackRock product platform, including Investment Company Act of 1940, Securities and Exchange Act ... distressed investments, manage transaction execution, review and negotiate full range of investment and restructuring documentation. + Act as transactions legal… more
- AIG (Parsippany, NJ)
- …+ Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 and federal regulations. State insurance investment ... Position Summary: AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and… more
- Charles Schwab (Southlake, TX)
- …ETFs consistent with the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940 while maintaining an enterprise-wide view of ... that present the most significant compliance risk to Schwab's investment advisers including Schwab Wealth Advisory, Inc., CS&Co ...both today and in the future: + 401(k) with company match and Employee stock purchase plan + Paid… more
- BlackRock (New York, NY)
- …of a leading investment management/financial services organization. + Experience with the Investment Company Act of 1940 is preferred. + Strong writing ... asset management firms and a premier provider of global investment management, risk management and advisory services to institutional,...to serve as a senior member of the 1940 Act Compliance team reporting to the Chief Compliance Officer.… more
- Securities and Exchange Commission (Boston, MA)
- …examinations in areas related to the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, ... inspections in regards to surveillance and/or risk management of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents… more
- Securities and Exchange Commission (Boston, MA)
- …examinations in areas related to the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, ... inspections in regards to surveillance and/or risk management of broker-dealers, investment advisers, investment companies, municipal advisors, transfer agents… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company Act of 1940, the Investment Advisers Act of… more
- Securities and Exchange Commission (Chicago, IL)
- …of the Securities Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of ... advisors, municipal securities dealers, security-based swaps dealers, funding portals, investment advisors and/or investment companies. Typical duties include:… more
- T. Rowe Price (Baltimore, MD)
- … management or financial services industry, with a focus on regulatory compliance. + Investment Company Act of 1940 compliance experience including ETFs. + ... difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today… more
- Office of the Director of National Intelligence (Bethesda, MD)
- …to non-USG expertise. Knowledge and/or previous experience in foreign direct investment analysis, company analysis, or evaluating foreign direct investments ... Serve as one of three team chiefs in the Investment Security Group (ISG) in the Office of Economic...of all source analysis in support of the CHIPS Act process and Commerce Department's Bureau of Industry and… more
- BlackRock (Wilmington, DE)
- …multitask. + Proficient in Microsoft Office products, emphasis on Excel; knowledge of the investment company industry a plus. **Our benefits** To help you stay ... and Product Services ("GAAPS"): Alternatives Operations supports BlackRock alternative investment products across its $319B platform of alternatives assets under… more