- 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
- Securities and Exchange Commission (Chicago, IL)
- … Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940 ; Providing ... has been extended to December 2, 2024 The Senior Officer-Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in… more
- Securities and Exchange Commission (Chicago, IL)
- … Act of 1933 and the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940 ; Providing ... has been extended to December 2, 2024 The Senior Officer-Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in… more
- Fifth Third Bank, NA (Charlotte, NC)
- …and implementing recommendations or system solutions to mitigate identified risks. The Compliance Director will be responsible for management of the related ... in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer, this position is responsible for ensuring policies...designed specifically to prevent violation of the Investment Advisers Act of 1940 and other securities laws.… more
- Colorado State University (Fort Collins, CO)
- …resource compliance activities, prepare and evaluate National Historic Preservation Act ( NHPA ) Section 106 undertakings and documentation, coordinate and ... monitoring, and protecting cultural resources; preparing information and analysis in compliance with the National Historic Preservation Act and other… more
- Grifols Shared Services North America, Inc (Clayton, NC)
- …countries and regions. Grifols has been a leader in the healthcare industry since 1940 by creating innovative products and services based on the values of ethics, ... please visit our website: http://www.grifols.com **Summary** Reporting to the Global Director of Indirect Procurement the Global Category Manager - Indirect… more