- State Street Corporation (Boston, MA)
- …implementations and change management. We are seeking a strategic and highly organized Vice President to lead the coordination and communication of business ... a professional with deep expertise in the Investment Advisers Act of 1940 , the Investment Company ...with fiduciary expectations. As North America Fund Governance Manager, Vice President , you will: Serve as a… more
- Fidelity Investments (Boston, MA)
- Job Description: The Role We are seeking a Vice President , Optimization Technology to join our Quantitative Research & Investments Technology (QRIT) team in ... the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 , the Investment Company Act of 1940 , ERISA, numerous state… more
- Fidelity Investments (Boston, MA)
- …Description: The Role Relying on strong legal, communication and organizational skills, the Vice President of Legal & Licensing Negotiation will assist and ... Investments. Collaborating with business partners and Vendor Managers, the Vice President of Legal & Licensing will...Exchange Act of 1934, the Investment Advisers Act of 1940 , the Investment Company … more
- BlackRock (New York, NY)
- …are seeking a highly motivated professional to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines ... regulatory requirements and applicable BlackRock policies and procedures relating to 1940 Act products. The individual will provide compliance support to key… more
- Aristotle Capital Management (Los Angeles, CA)
- …focused on research, investment management and client success. We are currently seeking a Vice President , Sr. MarTech Engineer to join our team. The Vice ... Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does not imply a certain… more
- BlackRock (Wilmington, DE)
- …working knowledge of accounting issues affecting the asset management industry. + 1940 Act investment management industry experience preferred. + You drive ... outcomes and are personally accountable for results. + You analyze relevant information using logic and consider relevant facts to make rational, realistic, and sound decisions. + You produce accurate work and spots mistakes/errors and make appropriate… more
- JPMorgan Chase (New York, NY)
- …a law firm or investment management firm. + Expertise in the Investment Company Act of 1940 . + Strong leadership, analytical, and problem-solving skills. + ... Proven ability to manage multiple complex projects simultaneously. + Excellent business judgment and strategic thinking. + Effective communication skills at all business levels. + Ability to work collaboratively across departments. + JD or educational… more
- Arena Investors LP (Jacksonville, FL)
- …variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940 ; . Support the CCO with FINRA broker-dealer ... requirements; . Monitoring of Client guidelines and restrictions; . Review of marketing materials; . Review of compliance policies and procedures; . Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and… more
- Aristotle Capital Management (Newport Beach, CA)
- …a collaborative approach, this is a hands-on position which will report to the Vice President , Performance & Analytics. What You Will Do: + Oversee performance ... Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940 , as amended. Registration does not imply a certain… more
