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Position Purpose: Assist in maintaining **MEMBERS ONLY**SIGN UP NOW***.â€™s Compliance Program; guide special projects; provide regulatory interpretation; perform compliance reporting; and develop and implement compliance auditing and monitoring strategies. Respond to external requests for information required by the organization for its regulatory filings. Respond to inquiries from state and federal regulatory agencies. Monitor pending legislation and regulati...
Seeking Attorney with transactional experience. Candidate will handle legal work involves representation of a registered investment company (i.e., mutual fund) and its governing board. Familiarity with the Investment Company Act and other federal securities laws is a plus.