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locations: The salary range for this role is competitive and will be determined by experience, education and skill level. For benefits information: . Job title Data Protection Senior Analyst Experience information 2-5+ years of experience in...
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...
financial services industry Company: Bank of America Department:... Fiduciary Programs and Platforms (FPP) Team Responsibilities: - Provide strategic and regulatory support to leadership and team members - Work with Fiduciary Team members and across the Merrill organiza...
Principal Investigator, Specialist Team - All FINRA Locations H2: Job Description Organization: FINRA Job Title: Principal Investigator, Specialist Team Job Type: Full-time Location: All FINRA Locations Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington,...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
and Human Capital Management Company H1: Join the Team as... a Growing Business as an Investments Counsel - Job Title: Investments Counsel - Company: Mercer, a Risk, Strategy... and Human Capital Management Company - Location: New York, NY -... Experience: 2 years - Employment Type: F...
Firm is seeking an Investment Funds Regulatory Associate to... experience to join its Investment Funds Regulatory Practice. The... and compliance advice to investment advisers, family offices, and... other financial institutions around t...
Attorney - Financial Services Investment Funds Salary Information:... matters relating to the Investment Company Act of 1940... and the Investment Advisers Act of 1940,... registered funds employing alternative investment strategies such as interval... funds, tender offer funds, and BDCs,...
Associate – Investment Funds Regulatory – Law... have strong knowledge of Investment Advisers Act of 1940... and Investment Company Act of 1940... - Private equity and hedge fund formation experience is and compliance advice to investment advisers, family offices, and......
a focus on the Investment Company Act and Investment... Advisers Act. The ideal... significant expertise in closed-end investment companies, particularly listed funds,... and should be knowledgeable about the rules that apply to them under federal securities laws and relevant exchanges....