- Fidelity TalentSource LLC (Boston, MA)
- …responsible for supporting several critical regulatory filings, providing regulatory compliance support, and ongoing review, analysis, and tracking of increasingly ... in support of Fidelity s expanding business lines. The TeamAsset Management Compliance (\u201CAMC\u201D) works closely with Fidelity s investment teams across all… more
- The Hartford (Wayne, PA)
- …and/or legal experience with expertise in mutual fund, ETF or investment adviser compliance ; portfolio compliance experience preferred. + Knowledge ... will be responsible for various aspects of the investment adviser , transfer agency and mutual fund compliance programs of in support of Hartford Funds. The … more
- Wellington (Boston, MA)
- …Group to drive coordinated outcomes Qualifications + 8+ years of relevant investment adviser compliance experience; mutual Fund and ETF compliance experience ... those of our clients. **About the Role** **Core Regulatory Compliance Officer** company overview Wellington Management offers comprehensive investment management… more
- Robert Half Legal (Englewood, NJ)
- …advisers based upon pre-determined factors. * Prepare educational content on investment adviser compliance issues and developments. * Attain a sound ... to join their firm. This role is responsible for providing legal counsel and compliance consulting to the firm's registered investment adviser (RIA) clients with… more
- T. Rowe Price (Baltimore, MD)
- …of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, ... skilled and experienced professional to join our North America Compliance team as a Senior Compliance Officer...North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the… 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
- Stanford University (Stanford, CA)
- Disability Adviser , Office of Accessible Education **Vice Provost for Student Affairs, Stanford, California, United States** Student Services Post Date Jul 25, 2024 ... 104060 Stanford University has an immediate opening for a full-time Disability Adviser in the Office of Accessible Education, the department charged with… more
- Securities and Exchange Commission (Washington, DC)
- …market and SEC operations. Typical duties include: Serving as an expert legal adviser and counsel on the operations of the Office of the Secretary, focusing ... of Commission meetings (closed, open, and oral arguments); ensuring compliance with the provisions of the Government in the...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- Principal Financial Group (Des Moines, IA)
- … compliance professionals covering "core" aspects of a registered investment adviser -focused compliance program. + Provide mentorship on regulatory filings ... You'll Do** We're looking for an expert Director of Compliance to lead our asset management core compliance... Compliance to lead our asset management core compliance team. The ideal candidate will have extensive knowledge… more
- US Army Corps of Engineers (Fort Shafter, HI)
- …providing legal advice on complex, multi-million dollar projects and ensuring compliance with federal procurement laws and regulations. Manage contract claims, ... Provide legal advice on environmental, labor, regulatory, and fiscal law, ensuring compliance with policies affecting the District's mission. Serve as Deputy Ethics… more
- US Army Sustainment Command (Rock Island, IL)
- …and http://www.ed.gov/admins/finaid/accred/index.html. Additional Information To ensure compliance with Army Materiel Command (AMC), we ... will consider internal candidates to the agency that are qualified by AMC before considering external applicants (all US Citizens). Male applicants born after December 31, 1959, must complete a Pre-Employment Certification Statement for Selective Service… more
- Army Tank-Automotive and Armament Command (TACOM) (Warren, MI)
- …and http://www.ed.gov/admins/finaid/accred/index.html. Additional Information To ensure compliance with Army Materiel Command (AMC), we ... will consider internal candidates to the agency that are qualified by AMC before considering external applicants (all US Citizens). Male applicants born after December 31, 1959, must complete a Pre-Employment Certification Statement for Selective Service… more
- Army Tank-Automotive and Armament Command (TACOM) (Rock Island, IL)
- …and http://www.ed.gov/admins/finaid/accred/index.html. Additional Information To ensure compliance with Army Materiel Command (AMC), we ... will consider internal candidates to the agency that are qualified by AMC before considering external applicants (all US Citizens). Male applicants born after December 31, 1959, must complete a Pre-Employment Certification Statement for Selective Service… more
- US Army Aviation and Missile Command (Redstone Arsenal, AL)
- …and http://www.ed.gov/admins/finaid/accred/index.html. Additional Information To ensure compliance with Army Materiel Command (AMC), we ... will consider internal candidates to the agency that are qualified by AMC before considering external applicants (all US Citizens). Male applicants born after December 31, 1959, must complete a Pre-Employment Certification Statement for Selective Service… more
- Air Force Civilian Career Training (Lackland AFB, TX)
- …Air Force source of legal expertise in complex environmental law matters, including compliance with federal, state, and local laws and regulations in areas of ... environmental law, occupational safety and health, and natural and cultural resources. Provides legal advice and services to the Agency on real estate transactions and related matters. Requirements Conditions of Employment Qualifications GENERAL REQUIREMENTS:… more
- Wellington (Boston, MA)
- …to drive coordinated outcomes **QUALIFICATIONS** + 8+ years of relevant investment adviser and investment company compliance experience (interval fund and ETF ... with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance ...independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Wellington (Boston, MA)
- …private investments business, as appropriate **Qualifications** + 12+ years of legal and compliance experience working at an investment adviser to private credit ... clients. **About the Role** The Head of Private Credit Compliance will support and provide leadership to Wellington Management's...independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- City National Bank (Charlotte, NC)
- …with a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within ... ** COMPLIANCE ANALYST** **WHAT IS THE OPPORTUNITY?** Position is...is responsible for performing risk analysis and assessment of compliance regulations, identifying risks and controls, monitoring business unit… more
- City National Bank (Los Angeles, CA)
- …with a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within ... **Mortgage Compliance Manager** **WHAT IS THE OPPORTUNITY?** The Head of Mortgage Banking Compliance will act in a compliance advisory role supporting… more
- City National Bank (New York, NY)
- …with a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within ... **MGR COMMERCIAL BANKING COMPLIANCE ** **WHAT IS THE OPPORTUNITY?** The Manager of...**WHAT IS THE OPPORTUNITY?** The Manager of Commercial Banking Compliance is responsible for advising, overseeing, and challenging commercial… more
