Showing 1-20 of 28
Showing 1-20 of 28
Derivatives Regulatory Adviser jobs

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PrudentialNewark, NJ

Good working knowledge of derivatives. Experience working with federal securities laws applicable to investment advisers, including the Investment Company Act...

State StreetBoston, MA

Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, and other regulatory requirements....

Chicago Mercantile Exchange Inc.Chicago, IL

As the world’s leading and most diverse derivatives marketplace, CME Group (. Demonstrates an expert level knowledge and/or exposure to the common issues facing...

HireFluxBoston, MA

Experience with derivatives documentation and Dodd-Frank issues is a plus. The Hedge Funds Group of the Corporate Department of alarge National firm is seeking...

The Hartford Financial ServicesHartford, CT

Assist with preparation and filing of Form ADV and other regulatory disclosures. Thorough and intimate working knowledge of the investment advisor, investment...

Northern Trust Corp.Chicago, IL

Experience with options, futures, swaps and other derivative instruments is highly desired. Draft, negotiate and review various types of legal agreements and...

Perkins CoieNew York, NY

Applicants should have experience counseling investment advisers and registered fund complexes on US securities laws and SEC matters, or equivalent regulatory...

Perkins CoieWashington, DC

Applicants should have experience counseling investment advisers and registered fund complexes on US securities laws and SEC matters, or equivalent regulatory...

MetLife GTOConvent Station, NJ

Remaining abreast of all relevant market and regulatory developments impacting the Company’s investments; Knowledge of the Investment Advisers Act of 1940 and...

Allianz LifeMinneapolis, MN

Acts as lead representative of AIM compliance to regulatory bodies and assists with regulatory inquiries. Advisors Act of 1940, derivatives, general account...

Ameriprise FinancialNew York, NY

The position reports directly to the SVP, Chief Counsel, Asset Management and will focus primarily on legal and regulatory matters relating to Columbia...

Wall Street OptionsNew York, NY

-Oversee Finra, SEC up-to-date with all regulations of federal, state laws / codes / regulatory compliance / Investment Advisers Act of 1940, FSA, and ERISA....

MetLifeConvent Station, NJ

Remaining abreast of all relevant market and regulatory developments impacting the Company’s investments; Knowledge of the Investment Advisers Act of 1940 and...

The StandardPortland, OR

Advanced knowledge of the Securities environment including fixed income (corporate, government and municipal markets) equities, derivatives and liability...

OCCChicago, IL

Covered/registered clearing agencies (CCA/RCA), derivatives clearing organizations (DCO), broker dealers, investment banks, investment advisers, hedge funds,...

Barings LLCCharlotte, NC

The Senior Legal Analyst will be primarily responsible for assisting Barings LLC’s Regulatory and Trading Team, with a focus on SEC regulatory filings...

StoneTurn GroupNew York, NY

We are looking for qualified consulting Senior Adviser with a strong financial services background as it relates to trading controls and compliance to join us...

MLA GlobalNew York, NY

Familiarity with the investment advisers act. Strong understanding of the investment adviser industry. Regulatory system in general and specifically knowledge...

Dimensional Fund AdvisorsAustin, TX

5-7 years of practice (investments, financial services, securities regulatory work, investment adviser and/or mutual fund issues) in a top-tier law firm or in...


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