- PNC (Orlando, FL)
- …our employees feel respected, valued and have an opportunity to contribute to the company 's success. As an Investment Advisor Sr. within PNC's Private Bank ... position. **Job Description** + Manages accounts in accordance with investment objectives that have been developed with the client....requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure… more
- PNC (Louisville, KY)
- …of our employees feel respected, valued and have an opportunity to contribute to the company 's success. As an Investment Advisor III within the PNC Private Bank ... position. **Job Description** + Manages accounts in accordance with investment objectives that have been developed with the client....requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure… more
- BlackRock (Atlanta, GA)
- …of a leading investment management/financial services organization. + Experience with the Investment Company Act of 1940 is preferred. + Strong ... professional to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product...This mission would not be possible without our smartest investment - the one we make in our employees.… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser, investment company and state regulations will ... company regulations and other regulatory requirements applicable to investment advisers, broker-dealers and trust services holding retail investor securities. +… more
- Raymond James Financial, Inc. (New York, NY)
- …**Knowledge of** + Advanced investment concepts and securities industry procedures. + Investment Company Act of 1940 and SEC regulatory environment. + ... outcomes. + Develop and implement a robust supervisory framework for investment advisory programs. + Monitor regulatory changes and ensure firm-wide compliance… more
- CBRE (New York, NY)
- …+ 25 holidays + Other benefits (like Season Ticket Loans) + About CBRE Investment Management Our company is built on respect, integrity, service and excellence. ... options, and user experience to maximize product value and increase efficiency. You will act as the "voice" of the customer, translating customer needs to the Agile… more
- Lincoln Financial (Charlotte, NC)
- …ensure they are filed timely and accurately. . Assures fund administration compliance with the Investment Company Act of 1940 as well as the Securities Acts ... of 1933 and 1934 . Maintains a working knowledge of strategic investment market activities and industry pronouncements and their impacts on the Funds as well as… more
- US Bank (Milwaukee, WI)
- …or candidate preferred. + 5+ years' 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
- US Bank (Milwaukee, WI)
- …SEC & IRS regulations as well as understanding of mutual fund investment company concepts. + Excellent oral/written communication skills, organizational & ... custody, securities lending, transfer agent and shareholder services and alternative investment product services. We provide the products and services necessary for… more
- T. Rowe Price (Owings Mills, MD)
- …legal advice based on experience and research of mutual funds and ETFs, the Investment Advisers/ Company Act of 1940, and related regulations and practices ... with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed...to create real impact at work and in your community . Y ou'll enjoy resources to support your career… more