- DAI (Bethesda, MD)
- …A wholly owned subsidiary of DAI Capital, LLC, Microvest is a registered investment adviser , Certified B Corporation. **Our Culture** Microvest (MV) is committed ... **Senior Investment Analyst, MicroVest** City/Country Location Details **Bethesda, MD**...**Full-Time Regular** Job Type **Corporate** **Job** Job Title: Senior Investment Analyst, Investments Department: Investments Reports to: Investment… more
- Citigroup (Tampa, FL)
- …Restricted and Control Stock Program + Subject matter includes US securities laws (especially the Investment Adviser 's Act of 1940 and OCC Title 9), as well as ... the Securities Act of 1933, Investment Company Act of 1940, SEC Rule 144, broker-dealer...regulatory disclosures/filings + Provide day-to-day legal support of the investment management business, including matters related to client … more
- US Bank (Philadelphia, PA)
- …the Lines of Defense. Primarily responsible for supporting the institutional registered investment adviser Outsourced Chief Investment Officer (OCIO) ... compliance function for US Bancorp Asset Management, Inc. ("USBAM") and PFM Asset Management division ("PFMAM") activities. This includes managing and maintaining effective OCIO compliance program interests that provide reasonable assurance activities are in… more
- Fifth Third Bank, NA (Charlotte, NC)
- …Labor (DOL). The incumbent will strive to ensure that the Registered Investment Adviser 's practices always meet requirements of government regulations; provide ... regularly scheduled updates to the Registered Investment Adviser 's Boards of Directors regarding the firms' implementation of and adherence to all regulatory… more
- The Hartford (Wayne, PA)
- …a Compliance Analyst. The candidate will be responsible for various aspects of the investment adviser , transfer agency and mutual fund compliance programs of in ... accounting, and/or legal experience with expertise in mutual fund, ETF or investment adviser compliance; portfolio compliance experience preferred. + Knowledge… 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
- Aristotle Capital Management (Los Angeles, CA)
- …an accredited college or university, or equivalent work experience. + Understanding of investment adviser industry including the Investment Advisers Act and ... 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 ... 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)
- …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
- 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
- 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
- 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
- Greenbacker Capital (New York, NY)
- …our IM business segment, Greenbacker Capital Management (GCM) serves as the registered investment adviser to five funds focused on green power generation and ... an independent power producer (IPP) and a leading climate-focused investment manager (IM), whose mission is to empower a...the energy transition, including private equity investment in growth-stage clean energy companies, across a wide… more
- City National Bank (New York, NY)
- …experience with a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience ... working within a Compliance Investment Management role. **Compensation** Starting base salary: $34.55 -...2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los… more
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