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VP, Assistant General Counsel – Institutional Asset Management The ... will provide expert legal and regulatory advice in connection with the ... global business with over 70 investment professionals in..
... 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 ..
... Industry Capital Markets Capital Markets Investment Advisers Private Placements Public Company ... Privacy Cybersecurity & Data Privacy Regulatory Compliance Education Industry Education Industry ... Banking & Financial Services Bank..