- 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
- 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
- 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 ... Information:_** A minimum of five years of compliance experience in investment adviser , mutual fund regulatory compliance. This experience will likely include… 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
- Aristotle Capital Management (Boston, MA)
- … 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 (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
- 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
- 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 ... 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
- 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 ... 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
- 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
- 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
- Citigroup (Irving, TX)
- …end-to-end customer experience. + **Strong knowledge of wealth management, broker dealer, investment adviser functions preferred** . + **Ideal candidate would ... experience auditing financial advisors and supervisory functions of broker dealer or investment adviser firms.** **Job Family Group:** Internal Audit **Job… 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
- City National Bank (Los Angeles, CA)
- …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: $92,114 -...2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los… more
- State of Minnesota (St. Paul, MN)
- …Unit is responsible for the state's oversight functions relating to investment advisers, investment adviser representatives, broker-dealers, registered ... representatives, and securities offerings including timeshares, franchises, unit investment trusts, and mutual funds. The work will involve the following: * Review… more
- Bank of America (Jersey City, NJ)
- …Join us! **Job Description:** Managed Account Advisors (MAA) is an SEC Registered Investment Adviser that is responsible for the implementation of Investment ... management, and operating discipline to help achieve defined business goals. The investment solutions and platforms managed by MAA inherently have a high degree… more
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