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Research & Regulatory Compliance Associate Duties: Assist consultants in servicing clients, including taking ownership and responsibility for client responsibilities assigned. Compliance testing, compliance administration, Code of Ethics compliance, SEC exams, regulatory ..
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... for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and ... annual CCO reports under Adviser Act Rule 206(4)-7..
... or equivalent. Experience as a paralegal is preferred but not required. ... background, with the Investment Advisors Act of 1940; Securities Act of 1933 and Investment Company ... of..
Senior Paralegal The candidate will serve all ... required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and ... 1933 and Securities and Exchange..
2021 Graduate Summer Internship Program –Wealth Management & Investment Services – Legal Services Duties: Get hands-on experience solving business needs. Support communities where we live and work. Learn how to apply ..
Investment Management Paralegal The candidate will work closely ... SEC filing obligations for 40 Act registered funds. Bachelor’s degree, formal ... registered funds. Bachelor’s degree, formal paralegal training, or equivalent..
