Business Analyst / Project Manager - Finance & Trading Systems HTC Global Services IncBusiness Analyst / Project Manager - Finance & Trading SystemsIrvine, CAFull timeThis role partners closely with business stakeholders, technology teams, operations, risk, compliance, and external vendors to deliver business process improvements, system enhancements, and trading-related initiatives. The ideal candidate understands the trade lifecycle, can translate business needs into clear requirements, and is comfortable managing projects from planning through execution, testing, deployment, and post-implementation support.
Level 2 Production/Trading Support Analyst BC ForwardLevel 2 Production/Trading Support AnalystChicago, IL$68–$68.25 / hourFull timeThe ideal candidate will have strong experience in front-office trading support, incident/problem/change management, and production stability and a proven ability to troubleshoot complex systems, coordinate high-impact incident restoration, and drive efficiency through tooling and automation. With delivery centers and offices across North America and India, we take pride in building long-term relationships and delivering excellence through innovation, collaboration, and integrity.
Product Control Analyst - Trading Finance & Accounting BC ForwardProduct Control Analyst - Trading Finance & AccountingCharlotte, NCFull timeThe ideal candidate will have hands-on experience supporting traded financial products and possess a deep understanding of General Ledger accounting , P&L analysis , month-end close , and financial controls . With delivery centers and offices across North America and India, we take pride in building long-term relationships and delivering excellence through innovation, collaboration, and integrity.
NewOperations Analyst Vaco LLCOperations AnalystAustin, TX$120,000–$140,000Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors, including but not limited to: The individual’s skill sets, experience, and training; Licensure and certifications; Office location and other geographic considerations; Other business and organizational needs.
Data Governance Analyst / Project Manager AxelonData Governance Analyst / Project ManagerON, MI$75–$81 / hourSupport the execution of Data Consent Order remediation programmes, contributing to delivery in line with regulatory commitments and timelines, adhering to enterprise-wide data policies. Build collaborative relationships across Global Markets front-to-back stakeholders, e.g., trading desk, finance, operations, technology, data stewards, risk management.
NewVice President / Director, Credit Analyst (Mortgage Sector) AxelonVice President / Director, Credit Analyst (Mortgage Sector)New York, NY$65–$72 / hourServe as a technical subject-matter expert on agency residential and commercial MBS, TBA, CMO, and DUS products for the Institutional Credit Analyst Team, Sales, and Trading teams. Collaborate with internal stakeholders, including coverage bankers, business lines, and risk teams, to provide credit expertise and support.
NewBusiness Analyst/Project Manager ECLAROBusiness Analyst/Project Managertokyo, Tokyo-to-kaAnalyze end-to-end trade lifecycle events—including order capture, routing, execution, allocation, confirmation, settlement, and post-trade enrichment—to support surveillance and regulatory reporting use cases. Highly analytical, hands-on Senior Business Analyst / Project Manager at the Vice President level to lead compliance-focused technology initiatives within Financial Services.
Analyst, Financial Advisory ICONIQ CapitalAnalyst, Financial AdvisoryNew York, NY$90,000–$105,000 / yearWith over $100B assets under management, we seek to build resilient investment portfolios, partner with inspired entrepreneurs transforming industries, manage our clients’ lives and legacies, and create uncommon opportunities across sectors and society. Personal information collected by the Greenhouse portal is subject to the Greenhouses privacy policy, available here [ https://www.greenhouse.com/privacy-policy ] and ICONIQ’s Privacy Policies available here [ https://www.iconiqcapital.com/privacy-policies ].
Senior Research Analyst Stonex GroupSenior Research AnalystBirmingham, AL$175,000–$225,000 / yearWith 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
NewSystems Analyst Kforce Inc.Systems AnalystDurham, NC$48–$58We are seeking a candidate with a proven track record in analytical and problem-solving skills with proven ability to address root causes to high-impact problems. Employee pay is based on factors like relevant education, qualifications, certifications, experience, skills, seniority, location, performance, union contract and business needs.
Sales Enablement Reporting & Insights Analyst Stonex GroupSales Enablement Reporting & Insights AnalystAlpharetta, GAAs a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. This role supports Sales, Marketing, and Customer Engagement by ensuring high‑quality data, scalable reporting, and trusted insights as StoneX transitions from Salesforce to Microsoft Dynamics 365.
Compliance Analyst Stonex GroupCompliance AnalystChicago, IL$80,000–$85,000 / yearPosition Purpose: The Compliance Analyst will support various functions including reviewing and responding to regulatory requests and exams (NFA, CFTC, various futures exchanges) and working within the business with relevant teams or departments to remediate any adverse regulatory findings, where applicable. As the scope of requests can range from broad to specific across various areas of the business, it is the expectation that the Compliance Analyst will gain familiarity with their work both via internal discussions and independent research so that they will be able to answer questions and add value to the intended submissions.
NewBusiness Analyst CollaberaBusiness AnalystJersey City$45–$48 / hourTemporaryContractorThis role will work closely with Market Risk, Technology, and Business teams to support the implementation, testing, and optimization of Value at Risk (VaR), Stressed Value at Risk (SVaR), and other market risk models. We are seeking an experienced Business Analyst III to support Market Risk initiatives through data governance, financial data analysis, and risk model enhancements.
AML Transaction Monitoring Analyst Stonex GroupAML Transaction Monitoring AnalystMiami, FLAs part of the AML Group’s Transaction Monitoring function, in this role the individual will be responsible for conducting a variety of tasks such as BAU Alert reviews, investigations, preparing narrative information for SAR filings, conducting enhanced due diligence, and participating in ad hoc projects as needed. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Senior Compensation Analyst Stonex GroupSenior Compensation AnalystChicago, IL$90,000–$120,000 / yearAs a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
NewProcess Automation Engineer/ Data Analyst CollaberaProcess Automation Engineer/ Data AnalystCharlotte$50–$55 / hourTemporaryContractorCan be: fixed income cash (bonds), OTC Derivatives (interest rate, commodities, equities, fx options), Core FX (swaps forwards), equity cash (stocks, exchange traded, convertible bonds). A day in the life looks like pulling data from multiple different systems within CIB Operations, creating custom logic / approximations, and consolidating it to present to senior leadership.
NewTrade support Analyst BC ForwardTrade support AnalystNewark, DE$33–$34 / hourFull timeThe ideal candidate will have strong experience in syndicated loan operations, virtual dataroom management, and financial document review and a proven ability to manage confidential information flows, meet tight deadlines, and coordinate across trading, legal, and compliance functions. With delivery centers and offices across North America and India, we take pride in building long-term relationships and delivering excellence through innovation, collaboration, and integrity.
ETRM Systems Analyst Puget Sound Energy, IncETRM Systems AnalystClyde Hill, WAFull timeParticipates in research and collaborates with Business Partner, Business Systems Analyst, Resource Managers, and Architects in tactical and long-term road-mapping, RFI, RFPs and new/enhanced system capabilities to ensure alignment of business and IT requirements. There are additional voluntary options of supplemental life insurance, accidental death and dismemberment insurance, flexible spending accounts for health care and dependent daycare, and an Employee assistance program (EAP).
Temporary Application Analyst Baker Tilly US, LLPTemporary Application AnalystTumwater, WAFull timeBaker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world's leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston.
Trading Analyst Initio CapitalTrading AnalystNew York, NY$145,000–$185,000Market Analysis: Conduct in-depth analysis of global financial markets, including monitoring macroeconomic indicators, financial news, and asset movements to identify trading opportunities. As a Trading Analyst at Initio Capital , you will analyze market trends, assist with trade execution, manage real-time data, and provide insight into market conditions that support trading decisions.
Mortgage Trading Analyst PennyMac Mortgage Investment TrustMortgage Trading AnalystWestlake Village, CA$55,000–$85,000 / yearThe Mortgage Trading Analyst will: Analyze collateral data for whole-loan trading and securitization Maintain Mortgage Trading databases (NEC, pairoff, extensions) Act as a Mortgage Trading liaison to other departments (Financial Analysis and Valuation, Portfolio Strategy, Treasury, Servicing & Accounting) Review and analyze performance related metrics based on historical data gathered from portfolio position Complete ad hoc and project oriented requests related to pricing, reporting and data management Assist traders in managing trade positions via dollar rolls and swaps Perform other related duties as required and assigned Demonstrate behaviors which are aligned with the organization's desired culture and values What You'll Bring Bachelor's degree or equivalent work experience Proficiency in Microsoft Office (Word, Excel, Powerpoint) Knowledge of SQL a plus Must be highly proficient in Excel and Word Financial Services and, if possible, mortgage industry experience preferred Why You Should Join As one of the top mortgage lenders in the country, Pennymac has helped over 4 million lifetime homeowners achieve and sustain their aspirations of home. Compensation: Individual salary may vary based on multiple factors including specific role, geographic location / market data, and skills and experience as defined below: Lower in range - Building skills and experience in the role Mid-range - Experience and skills align with proficiency in the role Higher in range - Experience and skills add value above typical requirements of the role Some roles may be eligible for performance-based compensation and/or stock-based incentives awarded to employees based on company and individual performance.
Senior University Budget Financial Analyst EASTERN WASHINGTONSenior University Budget Financial AnalystCHENEY, WA$68,278–$92,837 / yearFull timehttps://inside.ewu.edu/policies/knowledge-base/ewu-406-01-exempt-employment/This is an Administrative Exempt position and is covered by https://inside.ewu.edu/policies/knowledge-base/ewu-406-01-exempt-employment/: https://inside.ewu.edu/policies/knowledge-base/ewu-406-01-exempt-employment/After starting employment, employees will complete the required training via Canvas. Eastern contributes to the vitality of the region and the state through its wide array of bachelor’s and master’s degrees in over 100 fields of study, as well as applied doctorates in physical therapy and educational leadership, offering accessible pathways to career success and personal development to students of all socioeconomic and cultural backgrounds.
Treasury Analyst DaVitaTreasury AnalystAuburn, WAFull timeAs a Treasury Analyst, you will gain valuable exposure to corporate treasury operations and play a pivotal role in managing critical functions such as daily cash and bank account management, M&A, international treasury relationships and more. Washington Non-exempt: Bellingham: $19.13/hour, Burien: $21.63/hour, Everette: $20.77/hour, Unincorporated King County: $20.82/hour, Renton: $21.57/hour, Seattle: $21.30/hour, Tukwila: $21.65/hour, Remainder of Washington state: $17.13/hour.
Energy Trading Analyst Brookfield Renewable USEnergy Trading AnalystNY$90,000–$100,000 / yearResearch and quantify deviations between forecast, budget and actual results; Support data aggregation efforts each morning to implement approved trading strategies across the asset fleet; Help with risk management associated with physical deliveries and transmission across various markets; Responds to internal requests from other functions for data and analysis; Develop expertise in Brookfield's ETRM system, acting as a subject matter expert for the commercial team. Strong team player with solid analytical skills with strong attention to detail; Ability to make decisions involving varied levels of risk and ambiguity; Excellent written and oral communications skills; Well organized and ability to synthesize and conceptualize complex ideas; Self-motivated with demonstrated initiative; Heightened interpersonal and influencing skills; Able to meet multiple objectives in a dynamic, fast-paced, team environment.
Mortgage Trading Analyst PennymacMortgage Trading AnalystWestlake Village, California$55,000–$85,000 / yearPENNYMAC: Pennymac (NYSE: PFSI) is a specialty financial services firm with a comprehensive mortgage platform and integrated business focused on the production and servicing of U.S. mortgage loans and the management of investments related to the U.S. mortgage market. Pennymac is committed to conducting a business that makes positive contributions and promotes long-term sustainable growth and to fostering an equitable and inclusive environment, where all employees and customers feel valued, respected and supported.
Business Analyst Baker Tilly US, LLPBusiness AnalystTumwater, WAFull timeBaker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world's leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston.
NewSales & Trading Analyst Initio CapitalSales & Trading AnalystNew York, NY$145,000–$185,000It is provided to help job seekers understand the responsibilities and qualifications typically associated with early-career sales and trading roles. This job description represents a sample Sales & Trading Analyst position commonly found through the Career Launch AI Talent Network .
Equity Trading Analyst Brown Brothers Harriman & CoEquity Trading AnalystNew York, NY$85,000–$105,000 / yearBBH's total rewards package recognizes your contributions with more than just a paycheck-providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being. About BBH: Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service, specialist expertise, technology solutions and partnership approach to client management.
Application Development Analyst Puget Sound Energy, IncApplication Development AnalystBothell, WAFull timeTo learn more about why PSE is a great place to work, see our Employee Value Proposition, which highlights our commitment to employee growth, work-life balance, and meaningful career opportunities in the energy sector. There are additional voluntary options of supplemental life insurance, accidental death and dismemberment insurance, flexible spending accounts for health care and dependent daycare, and an Employee assistance program (EAP).
Senior Trading Analyst Buckeye Partners LPSenior Trading AnalystHouston, TXRole Summary: Analyze trading opportunities, operating results, markets/emerging trends and develop points of view that result in business intelligence that can be used by all layers of the organization to support well informed trading and business development decisions. Buckeye wants to create and reward an organizational focus that stimulates the creative and entrepreneurial actions of its employees that result in innovative ways of reducing costs, generating revenues, improving productivity, or improving processes.
Fixed Income Trading Analyst Diversify IncFixed Income Trading AnalystSandy, UTAbout the Position: The Fixed Income Trading Analyst role works alongside the other members of the Diversify Asset Management portfolio management and trading teams in executing investment strategies of professionally managed client portfolios. We cultivate a family-like culture and an institutional platform that enables Advisors and wealth management firms to differentiate themselves, retain their entrepreneurial autonomy, and, most importantly, protect and serve their clients effectively.
Equity Cash Trading - Sales Trading Desk Support (Analyst) Jefferies Financial Group IncEquity Cash Trading - Sales Trading Desk Support (Analyst)Boston, MA$80,000–$100,000 / yearThe successful candidate will play an important role in keeping the sales trading desk running efficiently by supporting client interactions, assisting with deal-related activity, and handling core operational and administrative functions. Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services.
Power Trading Analyst Leeward Renewable Energy LLCPower Trading AnalystDallas, TXWork closely with traders, offering up-to-date market insights, and providing backup support by transacting, monitoring positions, and submitting trades on weekends when required. Born in Texas in 2003, we own and operate over 30 utility-scale wind, solar, and energy storage projects in local communities across the United States, totaling 4 gigawatts (GW) of generating capacity.
Trading Analyst Career Launch AITrading AnalystNew York, NY$140,000–$185,000Trading Analysts support trading desks and investment teams by analyzing market data, monitoring trade execution, and assisting with day-to-day trading operations . It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in trading, markets, and execution support.
Global Banking & Markets - Public - Natural Gas Trading - Analyst - New York The Goldman Sachs Group IncGlobal Banking & Markets - Public - Natural Gas Trading - Analyst - New YorkNew York, NY$110,000–$125,000 / yearIt operates a fully integrated global commodities business that is able to offer services to clients spanning derivatives risk management and advisory, physical trading and logistics and structured finance products. Goldman Sachs has been engaged in the commodities business since 1981 and is one of the leading players in the commodities markets across a wide variety of financial and physical products.
Equities - Flow Index Trading - Analyst JPMorgan Chase Bank, N.A.Equities - Flow Index Trading - AnalystNew York, NYFull timeThe flow index trading team is responsible for executing and managing high-volume index option trades on behalf of institutional clients, including pension funds, hedge funds, and brokers. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.
Commercial Trading Analyst Delek US Holdings IncCommercial Trading AnalystBrentwood, TNInvolves producing key insights for trading decisions, optimizing supply strategies through refinery infrastructure knowledge, and supports senior management and investor relations. Our logistics business currently owns and operates 720 miles of crude and product pipelines, a 600-mile crude oil gathering system, and storage tanks and terminals.
Client Trading Analyst nov testClient Trading AnalystBoston, MassachusettsNoviam is hiring our next cohort of Noviam Analysts, early-career professionals who receive structured training, career coaching, and direct placement into high-growth functions across leading financial institutions. As a Noviam Analyst, you’ll receive customized pre-deployment training , support from Noviam’s People Team, and ongoing professional development throughout your assignment.
Non-Agency CMBS Trading - Fixed Income Division - Analyst/Associate Morgan StanleyNon-Agency CMBS Trading - Fixed Income Division - Analyst/AssociateNY$150,000–$200,000 / yearMorgan Stanley's Securitized Products Group (SPG) contains several Trading Businesses (Agency MBS, residential mortgage loans, RMBS, CMBS, CLOs, and other ABS), a lending arm that focuses on traditional Commercial Real Estate as well as Warehouse (FID Secured Lending "FSL"), and a CUSIP financing business. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
xVA Trading - Fixed Income Division - Analyst/Associate Morgan StanleyxVA Trading - Fixed Income Division - Analyst/AssociateNY$150,000–$200,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. This role includes evaluating and pricing of credit and funding as well as collateral optionality; risk-managing the existing derivative portfolio by executing trades and optimizing portfolio hedges as well as frequent communication with the sales and trading desks for general counterparty issues.
VP, FX E-Trading Business Analyst TD BankVP, FX E-Trading Business AnalystNew York, New YorkTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
Trading Analyst Pattern Energy Group LPTrading AnalystHouston, Texas$80,000–$108,000 / yearHeadquartered in the United States, Pattern has a global portfolio of more than 30 power facilities and transmission assets, serving various customers that provide low-cost clean energy to millions of consumers. Pattern Energy is a leading renewable energy company that develops, constructs, owns, and operates high-quality wind and solar generation, transmission, and energy storage facilities.
Trading Analyst - North Hills, NC AdvyzonTrading Analyst - North Hills, NCNorth Hills, NCFull timeYou will work directly with Registered Investment Advisors (RIAs) and internal partners to troubleshoot platform questions, explain trading and rebalancing functionality, and contribute to a high-quality client experience. You are successful in this role when clients feel supported, issues are handled accurately and efficiently, and recurring questions become opportunities to improve documentation, workflows, and the product experience.
Junior Equity Sales-Trading Analyst - San Francisco William BlairJunior Equity Sales-Trading Analyst - San FranciscoSan Francisco, CaliforniaIt is ideal for individuals interested in financial markets who thrive in a fast-paced, team-oriented environment and are eager to build strong client relationships over time. This is a two-year development role designed to provide hands-on exposure to the equity markets, institutional client coverage, and trade execution.
Trading Analyst Hanwha Energy USATrading AnalystHouston, TX$75,000–$110,000 / yearAs part of the wholesale desk enabling the growth of Chariot/174PG's business, this role will be responsible for running and maintaining all analytical tools needed for retail pricing and supply management activities in ERCOT power market working closely with Supply and Technology teams. You will foster strong relationships with clients and stakeholders across all levels and interact regularly with Executive leadership to ensure the market risks arising from day-to-day trading positions are fully understood and managed appropriately within the limit framework.
Digital Trading and Investing Product Management - Analyst Morgan StanleyDigital Trading and Investing Product Management - AnalystPurchase, NY$58,000–$115,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Candidate must be able to strategically assess the needs of self-directed investors, come up with solutions, assess the cost, benefit and risk of potential opportunities, define business specifications, and work in an agile team to manage the rollout of projects.
QA Analyst – Trading Data & Pricing PrizePicksQA Analyst – Trading Data & PricingAtlanta, GARemote$85,000–$115,000 / yearThe ideal candidate thrives in a fast-paced environment, has a strong understanding of sports gaming and DFS, and enjoys working cross-functionally with Trading, Product, Engineering, and Data Science teams. As the leading platform for Daily Fantasy Sports, we cover a diverse range of sports leagues, including the NFL, NBA, and Esports titles like League of Legends and Counter-Strike.
Game Operations - Trading Analyst PrizePicksGame Operations - Trading AnalystRemote$55,000–$65,000 / yearAs the leading platform for Daily Fantasy Sports, we cover a diverse range of sports leagues, including the NFL, NBA, and Esports titles like League of Legends and Counter-Strike. Thorough understanding of college/major sports league players, teams, players, matchups and understanding of how said information impacts projections.
Trading Operations Analyst Veterans Sourcing GroupTrading Operations AnalystNewark, DEThe ideal candidate will possess strong analytical and problem-solving skills, demonstrate the ability to work independently while knowing when to escalate issues, and have advanced Excel capabilities with an interest in automation and process improvement. This role offers an excellent opportunity for recent graduates and early-career professionals interested in financial markets, securities lending, and trading operations.
2127668 Senior Analyst, Derivatives Trading Operations Fidelity2127668 Senior Analyst, Derivatives Trading OperationsBoston, MassachusettsRemoteThis role requires deep cross-system knowledge, broad access across Asset Management platforms, and strong coordination skills with trading desks, the Fidelity Fund Investment Operations Middle Office, technology, and external counterparties to accelerate workflows, reduce reliance on ad hoc operational coverage, and support the scaling of our Liquid Alts capabilities. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others.