- BlackRock (New York, NY)
- …We are seeking a highly motivated professional to serve as a senior member of the 1940 Act Compliance team reporting to the Chief Compliance Officer. ... on supporting all aspects of the 1940 Act funds business, including support of the compliance...+ Assist senior team members in development of the compliance program for 1940 Act … more
- CIBC (New York, NY)
- …innovative and relationship-oriented bank. **What You'll Be Doing:** The PWG Executive Compliance Director ("Executive Director ") is responsible for ... must have a thorough understanding of the Investment Advisers Act of 1940 and a working knowledge...part of the responsibility to implement and maintain PWG's Compliance program, the Executive Director will be… more
- City National Bank (New York, NY)
- …have a significant technology and business impact.* Possesses working knowledge of the Investment Advisers Act of 1940 , the Investment Company Act of 1940 ... The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth Management, is a leadership role as an auditor-in-charge for… more