- City National Bank (New York, NY)
- …* Minimum 7 years of compliance, regulatory compliance with respect to registered investment adviser products and services. * Minimum 5 years of financial ... 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 ... 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 ... more
- The Cigna Group (Bloomfield, CT)
- …and juggle multiple priorities. This position supports Cigna Investments, Inc., an investment adviser registered with the United States Securities and Exchange ... more
- Robert Half Legal (Naperville, IL)
- …Assist with various projects within the Legal Department as needed, such as corporate, investment adviser , private fund, global fund, and real estate projects * ... more
- Raymond James Financial, Inc. (CO)
- …**Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... more
- Truist (Charlotte, NC)
- …responsible for providing legal and regulatory advice to retail broker-dealer and investment adviser affiliates related to the regulation of securities products ... more
- US Bank (Minneapolis, MN)
- …oversight and due diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also will primarily assist with ... more
- State of Montana (Helena, MT)
- …the Securities Division, which include the following: * Reviews salesperson, investment adviser representatives, broker-dealer firms, and issuer registrations to ... 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 ... 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 ... more
- Wellington (New York, NY)
- …Risk Group to drive coordinated outcomes **QUALIFICATIONS** + 5+ years of relevant investment adviser and investment company compliance experience (interval ... more
- Aristotle Capital Management (Boston, MA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... more
- Neuberger Berman (New York, NY)
- …asset management business. The position will primarily support a US registered investment adviser /commodities trading adviser with a broad range ... 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 ... more
- Arena Investors LP (Jacksonville, FL)
- …. Review of compliance policies and procedures; . Administration of firm ( Investment Adviser and Broker-Dealer) annual compliance review (testing and ... 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 ... more
- Janus Henderson Investors (Denver, CO)
- …Australia, including regulatory filings and issues, with the US serving as an investment adviser + Provide legal advice relating to Janus Henderson's obligations ... more
- Wellington (Boston, MA)
- …business. **QUALIFICATIONS** Specific qualifications include: * 5+ years of relevant investment adviser or broker dealer experience (private placement experience ... 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 ... more
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