- Aflac (New York, NY)
- …Overall Responsibilities: + Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and ... VP, Investment Compliance Manager The Company : Aflac...Chance Ordinance, and the New York City Fair Chance Act . Applicants with criminal histories are encouraged to apply.… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …field. Required Experience: 1+ years relevant experience, including experience at an investment company , bank, endowment, foundation, investment office, or ... Position Summary The Investment Analyst will work closely with the ...funds). Additional Information In compliance with NYC's Pay Transparency Act , the annual base salary range for this position… more
- US Bank (Chicago, IL)
- …operational aspects of ETFs - Strong knowledge of federal securities regulations (1940 Act , Advisers Act , AML) - Strong organization, analytical, managerial and ... County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance...requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be… more
- Wells Fargo (St. Louis, MO)
- …The AIF Custom Lending team is working to underwrite Alternative Asset Management Company Co- Investment Lending Programs. These are loans via a "program" ... the firm's funds. **In this role, you will:** + Act as a liaison during the underwriting process to...as critical to the success of our customers and company . They are accountable for execution of all applicable… more
- City National Bank (Jersey City, NJ)
- …regulatory issues relating to the Investment Advisors Act of 1940, the Investment Company Act of 1940, the Securities Acts, CFTC, and FINRA ... to ensure regulatory compliance. * Experience advising on Employee Retirement Income Security Act (ERISA) qualified investment advisory accounts is a plus. *… more
- Harding Loevner LP (Bridgewater, NJ)
- …the Harding, Loevner Funds, Inc., an investment company registered under the Investment Company Act of 1940; Harding Loevner Funds plc, an Irish ... a minimum 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,… more
- 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
- Neuberger Berman (New York, NY)
- Neuberger Berman is seeking a lawyer experienced in the Investment Company Act of 1940 to join its New York-based Legal and Compliance Team. This position ... waive in) + At least 4 years of experience working with US registered funds and the Investment Company Act of 1940 at a major US law firm or with an in-house… 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
- Lincoln Financial (Fort Wayne, IN)
- …with investment companies and SEC-registered investment advisers * Familiarity with Investment Company Act of 1940, Investment Advisers Act ... expertise to the Lincoln Financial Group business segments, including SEC-registered investment advisers, that are responsible for providing investment … more