- 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 , Content Strategy & RFP Manager to join our team. As ... 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 (Boston, MA)
- **About this role** **Global Financial Reporting Vice President ** Are you searching for a rewarding, challenging, multi-faceted opportunity with the world's ... investment fund industry, including generally accepted accounting principles, the Investment Company Act of 1940 and Regulation S-X; knowledge of unregistered… 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
- BlackRock (Atlanta, GA)
- …asset managers. We are seeking candidates with experience with the Investment Advisers Act of 1940 , ERISA, banking regulations, state pension codes, and ... securities laws. + Strong interpersonal skills are critical for this role. You should have outstanding analytical, written and verbal communication and relationship-building skills, contract drafting and negotiation experience, and a consistent track record… 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