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Years of Experience
Qualification and Experience
The candidate should have J.D. degree from an accredited Law School and 6+ years’ experience with a major law firm. Significant regulatory experience with the Investment Advisers Act, including regulatory experience with the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable FINRA rules helpful. Familiarity with the day-to-day operations of investment advisers and related service providers helpful. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner, and build relationships with professionals at all levels of the organization. Key traits for success: Strong work ethic; Excellent communication skills; Reliable and team-oriented; Relationship builder; Flexible; Organized; Detail-oriented; Analytical problem solver; good business judgement. Ability to apply discretion in dealing with highly confidential information.