Investment Adviser Regulatory Counsel Jobs in Colorado

... of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of ... of 1934. Prepare drafts of regulatory documents for various..

VP Compliance Officer The candidate will be maintaining compliance policies and procedures for assigned trusts or advisers, performing annual reviews thereon, conducting risk assessments and periodic compliance testing, maintaining oversight of ..

Senior Legal Counsel - Hybrid The candidate will ... The candidate will advise on investment adviser, mutual fund, ETF and closed-end ... fund, ETF and closed-end fund regulatory filings with..

... law firm seeks a mid-level Investment Management Associate Attorney in Denver, ... and a strong background in investment management, including regulatory experience with the SEC's Division ... with the..

... of experience or a senior counsel with at least eight years ... of experience to join the investment management team of their Business ... Tampa, Tucson, and Washington D.C.DutiesHandle..

Senior Manager, First Line Risk Management Office, Governance The candidate will understand and opine on the process of creation, review, update, and implementation of disclosures, such as research, product, bank, account ..