- Fidelity TalentSource LLC (Boston, MA)
- …in support of Fidelity s expanding business lines. The TeamAsset Management Compliance (\u201CAMC\u201D) works closely with Fidelity s investment teams across ... s registered investment advisers, registered and private funds, and investment advisory services.\u00A0 The team manages several adviser registrations and… more
- The Hartford (Wayne, PA)
- …fund accounting, and/or legal experience with expertise in mutual fund, ETF or investment adviser compliance ; portfolio compliance experience preferred. ... responsible for various aspects of the investment adviser , transfer agency and mutual fund compliance ...of new Fund's portfolio compliance matrix and investment guidelines with fund administrator and sub- adviser .… more
- Wellington (Boston, MA)
- …Enterprise Risk Group to drive coordinated outcomes Qualifications + 8+ years of relevant investment adviser compliance experience; mutual Fund and ETF ... Compliance Officer** company overview Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global… more
- Robert Half Legal (Englewood, NJ)
- … investment advisers based upon pre-determined factors. * Prepare educational content on investment adviser compliance issues and developments. * Attain a ... and compliance consulting to the firm's registered investment adviser (RIA) clients with their regulatory...regulatory issues. * Assist clients in managing their regulatory compliance programs. * Draft investment adviser… 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 ... to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded… more
- Principal Financial Group (Des Moines, IA)
- …of talented compliance professionals covering "core" aspects of a registered investment adviser -focused compliance program. + Provide mentorship on ... candidate will have extensive knowledge of regulatory requirements for SEC-registered investment advisers and have deep experience implementing compliance and… more
- Wellington (Boston, MA)
- …drive coordinated outcomes **QUALIFICATIONS** + 8+ years of relevant investment adviser and investment company compliance experience (interval fund and ... Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- City National Bank (Charlotte, NC)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... ** COMPLIANCE ANALYST** **WHAT IS THE OPPORTUNITY?** Position is... Compliance Investment Management role. **Compensation** Starting base salary: $92,114 -… more
- City National Bank (Los Angeles, CA)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... **Mortgage Compliance Manager** **WHAT IS THE OPPORTUNITY?** The Head... Compliance Investment Management role. **Compensation** Starting base salary: $141,830 -… more
- City National Bank (New York, NY)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... **MGR COMMERCIAL BANKING COMPLIANCE ** **WHAT IS THE OPPORTUNITY?** The Manager of... Compliance Investment Management role. **Compensation** Starting base salary: $141,830 -… more
- Securities and Exchange Commission (Philadelphia, PA)
- …Philadelphia Regional Office is filling one position for a Supervisory Attorney- Adviser , SK-0905-15 in Philadelphia, PA. Responsibilities At the Securities and ... and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy.… more
- SMBC (New York, NY)
- …and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable regulatory ... and be responsible for leading all components of the compliance program for an investment advisory firm...with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory… more
- City National Bank (Los Angeles, CA)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... + Minimum 8 years of experience in banking operations, compliance and/or risk management activities **Skills and Knowledge** +... Compliance Investment Management role. **Compensation** Starting base salary: $101,231 -… more
- MyFlorida (Tallahassee, FL)
- …(2) or more years of professional experience working at a securities dealer or investment adviser in risk management, compliance , operations, or the front ... + Individuals who hold or have held securities industry licenses, regulatory compliance certifications, or other relevant designations, including but not limited to,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … monitoring, testing, audit practices and applicable US broker-dealer and registered investment adviser regulatory requirements and controls to work closely with ... senior members of Compliance and business management in a compliance ...testing, audit practices. * Applicable US broker-dealer and registered investment adviser regulatory requirements and controls. *… more
- Robert Half Finance & Accounting (New York, NY)
- …Investment firm based in midtown Manhattan New York. Our client requires 2+ years' Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or ... and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a...new and existing regulations Requirements Qualifications: + 2+ years' Investment Compliance experience at an RIA, Asset… more
- Manulife (Boston, MA)
- …etc.) is an asset. Additionally, knowledge of the investment adviser and/or mutual fund industry (ie, compliance monitoring, fund accounting/administration, ... **Responsibilities:** + Conduct pre-trade, post-trade and end of day batch investment compliance monitoring activities for an assigned group of client accounts.… more
- Citizens (OH)
- … Officer of the firm. + Accomplished background in brokerage, insurance, investment adviser , and general securities matters required. + Requires experience ... The First Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage and Investment management Supervision. Experience in… 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 ... methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance , including suitability, fiduciary standard, and other… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more
