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Compliance Director / Legal The candidate will work with Senior Management to promote a culture of compliance; Review the adequacy of the Firm's policies and procedures and the effectiveness of their ..
Assistant General Counsel - Investment Company The candidate will responsible ... fund matters. Support board meeting management function for our three independent ... registration and activities as an investment adviser..
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Senior Counsel, Regulatory Attorney The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. ..