- Lincoln Financial (Radnor, PA)
- … policies and procedures and provides other legal support on fund and adviser compliance matters. * Providing legal advice regarding strategic initiatives of ... Funds Management and related business lines/products; and regarding new fund development and compliance . * Advising fund complex and adviser or on new laws,… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... fairly, and to give them the best chance for investment success. Known for our strong ethical business practices...of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and… more
- Lincoln Financial (Radnor, PA)
- …to internal/external stakeholders on a broad variety of matters related to SEC-registered investment funds and the Annual Update with the SEC of the registration ... Names Rule requirements. * Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and… more