Securities Counsel at the company is tasked with a... other agreements, including those involving the 1940 Act Distribution. Key responsibilities include: -... Drafting, reviewing, and negotiating contracts related to the company's ETF and mutual fund... distribution business. - Providing legal advice...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead... or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work of project...
Title: Consultant/Wealth Management Compliance Job Responsibilities: The Consultant/Wealth Management Compliance role involves a variety of responsibilities aimed at ensuring compliance with regulatory requirements and promoting effective governance within the financial services sector. Key responsibilities include: - Leading or assisting in mock regulatory examinations...
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Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more
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