- Neuberger Berman (New York, NY)
- …+ 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
- Securities and Exchange Commission (Washington, DC)
- …assistance to the Division of Enforcement on investigations that involve potential violations of the Investment Company Act and the Investment Advisers ... on enforcement matters involving the Investment Advisers Act and Investment Company Act , including recommendations to the Commission. Overseeing and… more
- JPMorgan Chase (Chicago, IL)
- …with a law firm or investment management firm. + Expertise in the Investment Company Act of 1940. + Strong leadership, analytical, and problem-solving ... Are you an experienced attorney with a passion for investment management? Join our dynamic team at JPMorgan Asset...a high value on diversity and inclusion at our company . We do not discriminate on the basis of… more
- Charles Schwab (Lone Tree, CO)
- …a strong working knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940 and the rules there under, as well as other federal ... + 5 years of experience in a Regulatory Testing/Examiner/Audit role + Investment Adviser and/or Investment Company experience required +… more
- Securities and Exchange Commission (Philadelphia, PA)
- …is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC). This position is ... matters. Serving as an agency authority on examinations, particularly of investment advisers and investment companies. Requirements Conditions of Employment… more
- Securities and Exchange Commission (Philadelphia, PA)
- …is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC). This position is ... matters. Serving as an agency authority on examinations, particularly of investment advisers and investment companies. Requirements Conditions of Employment… more
- City National Bank (Dallas, TX)
- …* Possesses working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and ... Trust Administration, Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker/Dealer, Investment Banking activities for CNB's… more
- PNC (Philadelphia, PA)
- …employees feel respected, valued and have an opportunity to contribute to the company 's success. As an Investment Strategist within PNC's Asst Management Group ... credit and or operational risk of new and existing investment strategies. + Leverages investment expertise to...requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure… more
- US Bank (Hackensack, NJ)
- …preferred. + 10 + years with extensive experience in Mutual Fund Administration, investment company financial reporting or related field, ie, public accounting. ... + Strong knowledge of US GAAP, Regulation S-X and investment company financial reporting best practices. +...County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance… more
- Aflac (New York, NY)
- AVP, Quantitative Investment Risk - Asset Liability Management The Company : Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global ... Investment Job Id: 7928 out Our Company ...Chance Ordinance, and the New York City Fair Chance Act . Applicants with criminal histories are encouraged to apply.… more