- 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
- Wells Fargo (New York, NY)
- …experience with broad range of customers (banks, hedge funds, investment managers, 1940 Act funds, pension plans, corporate, and insurance companies) and ... Fargo is seeking an Assistant General Counsel and Executive Director in the Corporate & Investment Banking (CIB) Markets...related regulations (eg, ERISA and the Investment Company Act of 1940 ) + Significant knowledge and… more