- City National Bank (Los Angeles, CA)
- …and regulatory issues relating to the Investment Advisors Act of 1940, the Investment Company Act of 1940, the Securities Acts, CFTC, and FINRA regulations. ... wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and broker-dealers is essential as is the ability to… more
- Neuberger Berman (New York, NY)
- …large law firm + Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of ... Neuberger Berman is a leading asset manager seeking an Investment Management Attorney to provide advice and support on...are allocable to a particular employee remains in the Company 's sole discretion unless and until paid and may… more
- Harding Loevner LP (Bridgewater, NJ)
- …Loevner's pooled investment vehicles, including the Harding, Loevner Funds, Inc., an investment company registered under the Investment Company Act ... of five (5) years of experience in one or more of the following: the Investment Company Act of 1940, the Investment Advisers Act of 1940, ERISA, FINRA… more
- Neuberger Berman (New York, NY)
- …law firm + 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
- Deloitte (San Juan, PR)
- …when necessary; perform a high-level of tax research and work on regulated investment company (RIC) tax work papers, financial statement provisions and related ... you a leader, passionate about financial products and understand regulated investment companies, Subchapter M, section 4982 excise calculations, and tax compliance.?… more
- Deloitte (Stamford, CT)
- …and their affiliates; and perform detail-level reviews of tax research, regulated investment company (RIC) tax work papers, financial statement provisions and ... Mutual funds-Are you passionate about financial products and understand regulated investment companies, Subchapter M, section 4982 excise calculations, and tax… more
- US Bank (Cincinnati, OH)
- …reporting to RCA Manager, will assist in providing oversight of the Company 's Retail Nondeposit Investment Product (RNDIP) program. This position will ... to coordinating projects and other activities that help ensure the Company 's compliance with applicable RNDIP policies, procedures, regulations and guidance. This… more
- Janus Henderson Investors (Denver, CO)
- …firm or financial services company preferred + Experience with registered investment advisers and/or investment company rules and regulations preferred ... you! Your opportunity + Provide advice, review, and negotiate investment management and advisory agreements, including side letters with...profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on … more
- Wellington (Boston, MA)
- …as well as for funds in Cayman and Bermuda. * Ensure compliance with the Investment Company Act of 1940 and other relevant regulations. * Maintain and update ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more
- Insight Global (Los Angeles, CA)
- …including, but not limited to: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange ... Global is looking for a Compliance/Operations Manager for an investment firm in Los Angelos, CA. As a Compliance...and Procedure Development and Risk Assessments We are a company committed to creating inclusive environments where people can… more