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for managing the risk of financial crime to the firm. You will be reporting to the Business Risk Manager within the US Wealth Management Business Anti-Money Laundering Organization... (BAMLO). You will be responsible for managing the KYC Periodic Review proces...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
to Senior-level Financial Services Compliance and Regulatory Associate The candidate must have 4+ years of with and counseling registered investment advisors and broker-dealers on... including issues concerning the Investment Advisers Act of 1940... and the Investment Company Act of 1940.......
global regulatory regimes applicable to research (., MiFID II, FINRA Rule 2241, FCA COBS 12, etc.) Responsibilities: As the General Counsel for Investment Research, you will be... responsible for the following: Providing legal advice to the...
HR As the Corporate Counsel for Sustainability at... Amazon, you will have the opportunity to work on some of the most ambitious sustainability challenges in the world. You will be a key member of the Sustainability Legal team, supporting...
Firm is seeking an Investment Funds Regulatory Associate to... 3 years of relevant asset management regulatory experience to... join its Investment Funds Regulatory Practice. The... and compliance advice to investment advisers, family offices, and... other financial institutions around t...
Associate – Investment Funds Regulatory – Law... 3 years of relevant asset management regulatory experience -... have strong knowledge of Investment Advisers Act of 1940... and Investment Company Act of 1940... and compliance advice to investment advisers, family offices, and......
# Investment Management Attorney - Alternative... leading financial advisory and asset management firms, offering creative... are looking for an Investment Management Attorney to join... * Be the primary legal contact for the firm’s alternative investment products * Assist with... fu...
the world. Heading: Investment Funds, Registered Funds/BDC Associate... **MEMBERS ONLY**SIGN UP NOW***. is seeking a motivated and experienced attorney for the position of Investment Funds, Registered Funds/BDC Associate... in its New York, Boston and/or Washington, . offices....
a comprehensive benefits package including medical, dental, vision, and 401k plans. Job Title Registered Funds Associate Experience Information 3-6 years of legal experience practicing as a Registered Funds Attorney Department Asset Management Group (Regist...