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Manager, Compliance Duties: Under the general direction ... the Managing Director, Head of Legal & Compliance, will own and drive the ... development and administration of Group’s Compliance Program in..
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Tax and Compliance Accountant The candidate will report ... Planning, Investment Partnerships and Corporate Compliance. This position will be responsible ... responsible for enterprise-wide tax and regulatory compliance for Combined..
... will be responsible for providing legal support to American Renal Management ... Directors, in accordance with industry, legal, and regulatory standards, and consistent with the ... patient care. Serves..
Director, Compliance Consulting The candidate will be ... team leader for our broker-dealer compliance business. Interact with senior management ... of broker- dealer clients and regulatory authorities. Maintain, build and..
... Responsibilities: Complete monthly and quarterly compliance certifications for client accounts, as ... including reporting on investment company regulatory requirements, firm policy and procedure ... and soft dollar usage and..
... Associate with 3-5 years of legal experience to join their Boston ... and private offerings, and ensuring compliance with regulatory requirements.DutiesAdvise clients on securities offerings, ... due diligence and..
... on advising public companies on regulatory compliance, disclosure obligations, and corporate governance, ... public companies on:SEC reporting and compliance requirementsCorporate governance and disclosure obligationsNasdaq ... Entities (PIPEs)At-the-market (ATM) offeringsAddress..
... SEC, IRS and other government regulatory agencies. Perform state securities, corporate ... securities, corporate and other related legal research. Perform public searches, including ... public searches, including federal and..
... of registration statements and/or other regulatory filings required under the Investment ... of 1934. Prepare drafts of regulatory documents for various mutual funds, ... N-14. Review EDGAR versions of..
... shareholder items, and securities law compliance matters. Will review, provide comments, ... review, provide comments, and ensure compliance with regulatory requirements and best practices for ... other public disclosures...
... Markets The candidate will provide legal support to the institutional broker-dealer ... rules of the Financial Industry Regulatory Authority and the Municipal Securities ... and regulations. Interact closely with..
... provides a full range of legal advice and services. The Senior ... its management by: Assisting in legal and compliance matters relating to the Board ... agreements to comply..
... time entries, attending administrative meetings, legal keying all client-relevant and firm ... the firm’s procurement policies. Performs legal tasks that require significant independent ... and systems to provide effective..
... Attorney with 3-6 years of legal experience. The ideal candidate will ... ideal candidate will provide comprehensive legal advice and guidance to clients ... with clients, internal teams, and..
Legal Counsel Duties: Support the BPD/LCD ... Counsel and work with other Legal team members to provide guidance ... and address a range of, Legal, operational and business issues that..
Vice President & Legal Counsel - Investment Management Products ... offerings, culture and vision, and regulatory and supervisory landscape in order ... and help to address complex legal issues; will..
... completion of monthly and quarterly compliance reports and certifications for client ... including reporting on investment company regulatory requirements, firm policy and procedure ... and soft dollar usage and..
... Provide guidance to management on legal and regulatory matters impacting business strategy and ... the Company. Proactively identify policy, legal, and regulatory matters pertaining to the area ... of..
... the DRIP and ESPP, including legal compliance, coordination with plan administrators and ... documentation for internal and SOX compliance, as well as SEC reporting; ... to ensure accurate and..
Legal Counsel The candidate will be ... will be expected to provide legal support in a wide variety ... requirements and helping prepare Firms regulatory filings and annual reports, compliance;..
... Commodity Futures Trading Commission (CFTC) regulatory matters for their practice in ... candidate will advise clients on compliance with the Commodity Exchange Act ... and collaborate on cross-disciplinary matters.DutiesConduct..
... in fund formation, structuring, and regulatory advisory, and will contribute to ... holding company vehiclesProvide guidance on regulatory and compliance matters, both domestic and internationalAssist ... domestic and internationalAssist..
... shareholder items, and securities law compliance matters. Review, provide comments, and ... Review, provide comments, and ensure compliance with regulatory requirements and best practices for ... other public disclosures...
