Senior Vice President, Compliance Officer **MEMBERS ONLY**SIGN UP NOW***. is seeking a dynamic individual to serve as a Senior Compliance Officer within the global compliance team of its Legal and Compliance Department. The Compliance Officer will support the . Registered Funds 38a-1...
in advising exchange-traded funds (ETFs). This is an exciting... and work on a variety of projects related to all forms of ETFs and potential business development... opportunities. Responsibilities: • Specialize in establishing and registering index-based ETFs, actively-managed tr...
Title: Investment Funds Associate Location: New York, Washington, . Salary: Dependent on experience Experience: 4+ years Department: Investment Funds Firm: **MEMBERS ONLY**SIGN UP NOW***. General Summary: - Immediate opening for an Investment Funds Associate - Must have 4+ years of Investment Company...
Firm Seeking Investment Funds Associate in New York or Washington, . Job Title: Investment Funds Associate Salary: Competitive, based on experience Experience: 4+ years of Investment Company Act and Investment Advisers Act experience Overview: **MEMBERS ONLY**SIGN UP NOW***., a leading law...
Law Firm: **MEMBERS ONLY**SIGN UP NOW***. Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
in the equities businesses pertaining to sales and trading operations of equities products, including stocks, exchange-listed options, convertibles, American Depository Receipts (ADRs), exchange-traded funds (ETFs), and mutual fund shares... within the company's ., Canadian, and Latin American equities markets oper...
particularly supporting Collective Investment Trusts and the Columbia Funds, which include approximately 170 mutual funds, ETFs, and closed-end funds. - Support... the Collective Investment Trust (CIT) business by facilitating and attending Board of Director meetings, preparing meeting materials, supporting product ini...
related to derivatives transactions and repurchase agreements for registered investment company clients (including mutual funds, ETFs and closed-end funds). Strong... academic credentials are required. Must have 3+ years of direct experience. Ideal candidate will have demonstrated project management and leaders...
Title: Associate - Investment Services Job Responsibilities: - Work closely with shareholders and participate in business development and client-facing activities within a cohesive and collaborative team. - Play a leading or key role in transactions, particularly related to investment company reorganizations or mergers. -...
structure, and advise on various retail fund products, including traditional funds such as mutual funds, ETFs, and listed closed-end funds. -... Handle “alternative” funds, including interval/tender offer funds, business development companies (BDCs), real estate investment trusts (REITs), “holding company” and simil...
counsel on matters related to registered investment funds, including mutual funds, ETFs, and other regulated investment... products. Key responsibilities include: - Advising and assisting on the structuring, formation, registration, and ongoing governance of registered investment funds. - Preparing and reviewing regulatory filings,...
funds, including mutual funds, ETFs, and other regulated investment... products. The role requires a thorough understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC regulations, and other relevant laws governing registered funds. Key responsib...
management, including monitoring, of ETFs and mutual funds offered... by the company. - Develop and maintain relationships with ETF and mutual fund issuers. - Administer key internal controls to help manage regulatory risks. - Manage investigations pursuant to senior management...
advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds, exchange-traded funds (ETFs), closed-end funds, interval funds,... tender offer funds, and business development companies, as well as their advisers and directors. This role involves collaborating...