- Citizens (OH)
- … Officer of the firm. + Accomplished background in brokerage, insurance, investment adviser , and general securities matters required. + Requires experience ... the front-, middle-, and back-office products and services, including the investment management and due diligence risk governance processes. Candidate must possess… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Robert Half Finance & Accounting (New York, NY)
- …the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific emphasis on the ... recruiting for a Compliance Associate role at a global Investment firm based in midtown Manhattan New York. Our...midtown Manhattan New York. Our client requires 2+ years' Investment Compliance experience at an RIA, Asset Manager, Hedge… more
- Robert Half Legal (Englewood, NJ)
- …for providing legal counsel and compliance consulting to the firm's registered investment adviser (RIA) clients with their regulatory disclosures, client ... flexible work location. Responsibilities * Consult with clients on their investment adviser regulatory issues. * Assist clients in managing their regulatory… more
- Wellington (Boston, MA)
- …Risk Group to drive coordinated outcomes **QUALIFICATIONS** + 8+ years of relevant investment adviser and investment company compliance experience (interval ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Wellington (Chicago, IL)
- …designing and monitoring information controls is a plus + experience working at an investment adviser or some working knowledge of (i) Control Room or ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Aristotle Capital Management (Denver, CO)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Newport Beach, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Wellington (Boston, MA)
- …Group to drive coordinated outcomes Qualifications + 8+ years of relevant investment adviser compliance experience; mutual Fund and ETF compliance experience ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- SMBC (New York, NY)
- …the compliance program and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable ... and/or relevant law with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory management experience. + 5+ years of experience… more
- Wellington (Boston, MA)
- …**Qualifications** + 12+ years of legal and compliance experience working at an investment adviser to private credit or direct lending fund(s) + Bachelor's ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Wellington (Chicago, IL)
- …inquiries or examinations, as appropriate Qualifications + 2-4 years of relevant investment adviser experience and Bachelor's degree. FINRA designations (ie, ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Aristotle Capital Management (Los Angeles, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Foresters Financial Services (Dublin, OH)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Foresters Financial Services (Cleveland, OH)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- JPMorgan Chase (New York, NY)
- JP Morgan Private Investments Inc. (JPMPI) is a Registered Investment Adviser (RIA) that acts as a sub-advisor to open-end and closed-end registered ... investment companies (RICs) for clients of JP Morgan Wealth Management and Investment Solutions (WMIS). Currently, JPMPI provides investment advice and/or… more
- Atria Wealth Solutions (Houston, TX)
- …their clients. Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial ... member FINRA/SIPC, and each advisory firm is a federally registered investment adviser . For more information, please visit atriawealth.com . Atria Wealth… more
- Atria Wealth Solutions (Houston, TX)
- …their clients. Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial ... member FINRA/SIPC, and each advisory firm is a federally registered investment adviser . For more information, please visit atriawealth.com . Atria Wealth… more
- JPMorgan Chase (New York, NY)
- …knowledge of investment products and services marketed through a bank, registered investment adviser (RIA), or broker-dealer, and related SEC, OCC and FINRA ... and testing, and training. Additionally, you will need a strong knowledge of investment products including mutual funds, SMAs, ETFs, and hedge funds, and a solid… more
- T. Rowe Price (Baltimore, MD)
- …the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable ... difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today… more