Job Title: Tax Manager, Registered Investment Companies (RICs) Job Responsibilities: As... a Manager on the Registered Investment Company (RIC) Tax... team at the company, the primary responsibilities include managing tax planning and compliance for RICs, guiding clients through complex transactions, and leading...
contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed.... - Advise on new product development and regulatory risk management decisions. - Keep...
contracts for a variety of advisory, brokerage, technology, and operational services. - Provide general legal support to the broker-dealer, registered investment adviser, and technology... affiliates as needed. - Advise on new product development and regulatory risk management decisions. - Provide business leaders an...
Manage and negotiate contracts for Pershing for a variety of advisory, custody, operational, and technology services. - Provide general legal support to the broker-dealer and registered investment adviser as needed.... - Advise on new product development and regulatory risk manageme...
Title: Private Client Advisor II Job Responsibilities: - Lead the Client Management Process to identify new business development opportunities. - Source new clients in alignment with the bank's established risk appetite. - Deliver a Branded Client Experience by leading the client team to provide...
reviews. - Assist with policy and procedure reviews, drafting reports, and creating manuals to ensure compliance with regulatory requirements. - Provide compliance assistance and advice to clients, including those advising private funds and/or registered products. - Possess extensive knowledge... of regulations and complianc...
Title: Compliance Program Specialist Senior (Private Funds) Job Responsibilities: - Plan the execution of compliance programs to prevent illegal, unethical, or improper business practices. - Develop the ability to constructively challenge conclusions and the status quo. - Support key business initiatives by analyzing data...