- Raymond James Financial, Inc. (St. Petersburg, FL)
- …as it related to all communication activities. Uses knowledge of compliance 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 risk… more
- T. Rowe Price (Baltimore, MD)
- …data changes on the rule library and manages projects assigned by the Lead Manager and/or the Investment Compliance management team. Responsibilities + New ... make a difference. We are a premier asset manager focused on delivering global investment management...us and grow your career with us. Role Summary Investment Compliance is a global function responsible… more
- Robert Half Finance & Accounting (New York, NY)
- …based in midtown Manhattan New York. Our client requires 2+ years' Investment Compliance experience at an RIA, Asset Manager , Hedge Fund or Compliance ... standards with new and existing regulations Requirements Qualifications: + 2+ years' Investment Compliance experience at an RIA, Asset Manager , Hedge Fund or… more
- Amazon (Seattle, WA)
- …customers and supporting tens of thousands of partners. The AWS Global Partner Investment and Incentive Team seeks an experienced Funding Risk Product Manager ... willing to "roll up your sleeves." Key job responsibilities * Own compliance checking and evaluation of high-velocity partner-attached AWS customer deals. *… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... will primarily focus on the management of the firms compliance program supporting all corporate investment banking...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- BlackRock (Wilmington, DE)
- **About this role** Have a passion for the investment industry and an interest in programming? Are you a compliance professional who is looking for a rewarding, ... challenging, multi-faceted role with the world's largest asset manager ? Look no further! BlackRock is currently seeking a **Portfolio Compliance Implementation… more
- US Bank (St. Paul, MN)
- …within the Global Fee Management team focused on Wealth Management & Investment Services European client billings and Global Fee Management risk management, ... compliance , quality assurance and procedure oversight. RESPONSIBILITIES Directly and...level professionals. Administers corporate policies and procedures and ensures compliance with applicable laws and regulations. Participates in the… more
- Citizens (OH)
- …Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage and Investment management Supervision. Experience in developing ... an immediate opening for a First Line Risk Senior Manager supporting our Private Wealth Management - RIA and...Private Wealth risk and compliance programs for dual-registered Broker-Dealer/Registered Investment Advisor,… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... President will assist in the management of the firms compliance program supporting all corporate investment banking...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Scotiabank (New York, NY)
- Manager , US Investment Banking Product Control **Requisition ID:** 197379 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... winning team, committed to results, in an inclusive and high-performing culture. ** Manager , US Investment Banking Product Control (197379)** **Global Banking and… more
- MTA (New York, NY)
- …income. + Coordinate trading activity and cash flow requirements of the various MTA investment portfolios (with the Investment manager and Treasury Analyst). ... Flow + Oversee the performance of the MTA Outside Investment Managers, insuring compliance with contract provisions....PeopleSoft on a daily basis . + Backup the Investment Manager when necessary. + Select, develop… more
- T. Rowe Price (Baltimore, MD)
- …contribute, learn, and make a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services ... strategies, and offers risk consulting services to the firm's portfolio managers and Investment Division leadership. The Risk Analytics Manager reports to the… more
- Enterprise Bank & Trust (Clayton, MO)
- …our communities.** **Together, there's no stopping you!** **Job Title:** Investment Management: Associate Portfolio Manager **Job Description:** **Summary:** ... with other portfolio managers and trust associates to manage investment portfolios of Enterprise Bank & Trust in a...investment vehicles and options. + Ensure proper regulatory compliance in processes and procedures for the team. +… more
- University of Southern California (Los Angeles, CA)
- …Office of Research Los Angeles, California USC Alfred E. Mann Institute Research Investment Manager Reporting to the USC Alfred E. Mann Institute (USC ... AMI) Investment Director, the Research Investment ...other USC offices, eg, Office of the General Counsel, Compliance , USC Stevens Center for Innovation) and programs (USC… more
- Nuveen Investments (Frisco, TX)
- …incentive plans, or other non-annual incentive plans). **Company Overview** Nuveen, the investment manager of TIAA, offers a comprehensive range of ... Investment Accounting Management - Real Estate Investment...SEC guidelines and that all corporate entities remain in compliance with SEC rules for public companies. This includes… more
- JPMorgan Chase (Brooklyn, NY)
- …help our clients grow and achieve their objectives in today's global markets. **Global Investment Banking** As a Business Manager - Global Investment Banking ... to consumers, small businesses, and prominent clients worldwide. Our Global Investment Banking (GIB) franchise is an industry leader, providing comprehensive … more
- JPMorgan Chase (New York, NY)
- …four business segments including Asset & Wealth Management, Corporate and Investment Banking, Commercial Banking, and Consumer and Community Banking. Through ... support you in getting there. **J.P. Morgan Outsourced Chief Investment Office ("OCIO team")** The OCIO team is a...have extensive cross-asset class and market knowledge. As Portfolio Manager , the candidate will be expected to drive client… more
- Citigroup (New York, NY)
- …single and multi-asset class products. CIM is currently seeking an experienced Portfolio Manager to join our team of investment professionals. The candidate will ... related to both investment management and client service functions. The portfolio manager will be located with the US Fixed Income team in New York City,… more
- Truist (Dallas, TX)
- …(United States of America) **Please review the following job description:** The Reserve Investment Manager 2 (IM) is responsible for partnering with Wealth ... 7 years investment experience, which should include experience as an investment advisor, portfolio manager , or other investment -related activities with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance , including suitability, fiduciary standard, and other ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more