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Financial Services Compliance and Regulatory Associate The candidate must... working on compliance and regulatory matters. Should ideally have... with and counseling registered investment advisors and broker-dealers on... regulatory including issues concerning the Investment Advisers Act of 1940... and the Investment Company Act of 1940.......
Financial Services Compliance And Regulatory Associate Attorney with at... experience in compliance and regulatory matters. The ideal candidate... legal counsel to registered investment advisors and broker-dealers, focusing... regulatory those related to the Investment Advisers Act of 1940... and the Investment Compan...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The... the Vice President, Broker-Dealer/Investment Adviser Group, to develop and... program with respect to regulatory matters requiring specialized expertise... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area....
Senior Counsel Job at Turn/River Capital:... Salary, Job Title, and Experience Information About Turn/River Capital - Technology-focused private equity firm based in San Francisco - Over $2 billion under management - 100% focused on B2B software - Specializes...
Law Firm Seeks Broker-Dealer Regulatory Attorney with Industry Experience... Knight Seeks Experienced Broker-Dealer Regulatory Attorney H2: Join Our... Team at a Leading Law Firm - Salary Information Available Holland & Knight, a top law firm in the securities industry,...
industry. We not only have the best **MEMBERS ONLY**SIGN UP NOW***. positions, but we also have the most. Financial Services Practice Attorney The candidate should preferably have 3+ years of experience representing mutual funds on all regulatory and compliance matters as......
Tax Senior Manager - Investment Management - Private Equity... (West Region Office Locations) H1 heading: Join Our Team as a Tax Senior Manager in Investment Management and Private Equity... H2 heading: Utilize Your Expertise as a Senior Tax Manager in...
industry. We not only have the best **MEMBERS ONLY**SIGN UP NOW***. positions, but we also have the most. Financial Services Practice Attorney The candidate should preferably have 3+ years of experience representing mutual funds on all regulatory and compliance matters as......