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Investment Banking Compliance Attorney Jobs in California

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SPONSORED JOB
Company
Vista Equity Partners Manageme...
Experience
Min 2 yrs required
Location
Oakland, CA
Posted Date
Sep 29,18
Info Source
Total Views
31
compliance procedures compliance approvals of investment allocations, proxy voting, and... from VPS operations and investment professionals. Monitor the flow... governing documents for new investment funds, oversee the acceptance... Investor Relations, Finance, and investment Teams in reviewing all...... read more
SPONSORED JOB
Company
Wells Fargo
Experience
Min 4 yrs required
Location
Redwood City, CA
Posted Date
Oct 16,18
Info Source
Total Views
2
compliance Manager 4 - Head... the enterprise and Wholesale compliance program across all functional... key enterprise and Wholesale compliance program elements with respect compliance continued compliance with US banking regulations administered by the...... read more
Company
In-House
Experience
Location
San Francisco, CA
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
2
planning, foreign currency strategy, investment portfolio, and capital structure.... cash management, debt compliance, banking relationships, account structures and... providers, and other tax, banking and financial service professionals.... maintenance and compliance of investment policy and debt covenants... banking Manage the cash / investment management processes and procedures...... read more
Company
In-House, Wilmington Trust Corporation
Experience
Location
Century City, CA
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
8
client advisors, private bankers, investment specialists and other planning... Banking planning, corporate and basic investment disciplines and begins to... a broader knowledge of investment, credit, and insurance disciplines.... representatives, accounting firms, other investment brokers, attorneys, CPAs, tax... with and the best investment our shareholders ever make....... read more
Company
In-House
Experience
5-8 yrs required
Location
Los Angeles, CA
Posted Date
Oct 12, 18
Info Source
Employer
Total Views
31
agreements. Prepare and negotiate investment management agreements and investment... guidelines for separate accounts.... in coordination with the Compliance Department, including RFPs, webcasts,... a global basis. Advise investment teams regarding insider-trading concerns,... firm-wide procedures. Advise on investment-specific regulations (e.g., gaming, media,... banking), including structuring issues, initial... compliance... read more
Company
In-House
Experience
Location
Los Angeles, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
6
meet clients wealth structuring, investment management, banking and credit... products and services, including investment management, financial and succession... the Global Wealth and Investment Management unit of Bank... in wealth management, private banking and retail brokerage. ... banking, the integrated delivery of investment, fiduciary, credit and banking...... read more
Company
In-House, U.S. Trust
Experience
Location
Walnut Creek, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
5
meet clients wealth structuring, investment management, banking and credit... products and services, including investment management, financial and succession... the Global Wealth and Investment Management unit of Bank... in wealth management, private banking and retail brokerage. ... banking, the integrated delivery of investment, fiduciary, credit and banking...... read more
Company
In-House
Experience
Location
San Diego, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
5
meet clients wealth structuring, investment management, banking and credit... products and services, including investment management, financial and succession... the Global Wealth and Investment Management unit of Bank... in wealth management, private banking and retail brokerage. ... banking, the integrated delivery of investment, fiduciary, credit and banking...... read more
Company
In-House, Mitsubishi UFJ Financial Group...
Experience
Location
Beverly Hills, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
8
living and testamentary trusts, investment advisory and custody accounts,... nature. Act as investment portfolio manager for accounts... Trust Funds and determine investment diversification based upon investment... policies and customer objectives.... monitors the execution of investment, real estate management and... investment... read more
Company
In-House, Northern Trust Corporation
Experience
Location
Newport Beach, CA
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
2
administration of complex fiduciary, investment management, estate settlement, guardianship,... account administration for fiduciary, investment management, estate settlement, guardianship,... compliance global leader delivering innovative investment management, asset and fund... administration, fiduciary and banking solutions enabled by sophisticated,... $135 billion in banking assets $8.1 trillion...... read more
Company
In-House
Experience
Location
Walnut Creek, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
5
meet clients wealth structuring, investment management, banking and credit... products and services, including investment management, financial and succession... the Global Wealth and Investment Management unit of Bank... in wealth management, private banking and retail brokerage. ... banking, the integrated delivery of investment, fiduciary, credit and banking...... read more
Company
Recruiter, BCG Attorney Search
Experience
3-8 yrs required
Location
San Francisco, CA
Posted Date
Oct 16, 18
Info Source
Recruiter
Total Views
88
mid- to senior level attorney with 3-5 years of... corporate issuers and major investment banks in all aspects... markets financings, mergers and acquisitions and advice to clients on compliance and corporate governance issues... in the life sciences and/or technology space.... read more
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