; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act.... Update the client's compliance programs as necessary to keep them current with new regulatory requirements and best business...
; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act.... Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business...
Mid-Level Investment Funds Associate Attorney Direct Counsel is seeking a Mid-Level Investment Funds Associate...-level associate to join its Investment Funds group. The ideal candidate will have substantial experience with investments...
Funds Strategies and Private Equity Group are teams within Controllers that support the Asset & Wealth Management Division... within the firm through an oversight over complex private funds. Responsibilities: Safeguard the assets and reputation of the...
, but not limited to 529 plans, mutual funds, closed-end funds, collective investment trusts, exchange-traded funds, private funds... of regulatory developments surrounding marketing compliance and be able to nimbly respond to a rapidly changing and complex...
. Regulatory Develop processes to maintain compliance with regulatory agencies and accrediting bodies. Ensures operations... with others to validate and sustain compliance with regulatory and accreditation standards. Conducts routine compliance audits identifying...