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Compliance Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933 the 1940 Act and the Advisers Act and SEC rules thereunder and Financial..
Associate Counsel Institutional Investments and Corporate Services Duties Provide legal advice and counsel to addressing various investment-related activities and its affiliates through which those activities may be conducted Work directly..
Senior Compliance Manager Mutual Funds The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance reputational and operational risk Performing desk-based compliance..
Senior Compliance Manager, Mutual Funds The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance, reputational and operational risk. Performing desk-based compliance..
Associate Counsel Institutional Investments and Corporate Services Duties: Provide legal advice and counsel to addressing various investment-related activities and its affiliates through which those activities may be conducted. Work directly..
Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and..