- Fifth Third Bank, NA (Charlotte, NC)
- …+ Maintain networks with industry working groups that are dedicated to Registered Investment Adviser compliance to benchmark and share best practices. ... for providing strategic leadership, direction and oversight regarding the Registered Investment Adviser 's compliance risk management programs, including… more
- The Hartford (Wayne, PA)
- …fund accounting, and/or legal experience with expertise in mutual fund, ETF or investment adviser compliance ; portfolio compliance experience preferred. ... responsible for various aspects of the investment adviser , transfer agency and mutual fund compliance ...of new Fund's portfolio compliance matrix and investment guidelines with fund administrator and sub- adviser .… more
- Robert Half Legal (Englewood, NJ)
- … investment advisers based upon pre-determined factors. * Prepare educational content on investment adviser compliance issues and developments. * Attain a ... and compliance consulting to the firm's registered investment adviser (RIA) clients with their regulatory...regulatory issues. * Assist clients in managing their regulatory compliance programs. * Draft investment adviser… 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 ... to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded… more
- Wellington (Boston, MA)
- …drive coordinated outcomes **QUALIFICATIONS** + 8+ years of relevant investment adviser and investment company compliance experience (interval fund and ... Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- City National Bank (New York, NY)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... ** COMPLIANCE ANALYST** **WHAT IS THE OPPORTUNITY?** The ... Compliance Investment Management role. **Compensation** Starting base salary: $34.55 -… more
- US Bank (Philadelphia, PA)
- …the institutional registered investment adviser Outsourced Chief Investment Officer (OCIO) compliance function for US Bancorp Asset Management, ... **Job Description** Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the… more
- SMBC (New York, NY)
- …and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable regulatory ... and be responsible for leading all components of the compliance program for an investment advisory firm...with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory… more
- City National Bank (Los Angeles, CA)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... + Minimum 5 years of experience in banking operations, compliance and/or risk management activities **Skills and Knowledge** +... Compliance Investment Management role. **Compensation** Starting base salary: $92,114 -… more
- JPMorgan Chase (Boston, MA)
- Are you passionate about Investment Compliance and driven to ensure clients experience best in class service? Are you enthusiastic about change and maximizing ... one for you! As an Engagement Lead within the Investment Compliance team, you will bring intellectual...an overall understanding of regulations relating to pension plans, adviser and mutual funds + Strong Client Service/Client Management… more
- 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**...compliance with reporting and financial covenants. + Support Investment , Legal and Risk teams to resolve issues. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance , including suitability, fiduciary standard, and other… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … 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 ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...the Securities Act of 1933, Investment Company Act of 1940, SEC Rule 144, broker-dealer… 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 ... dynamic self-starter who will assist in all aspects of compliance in adherence to the Investment Advisers...Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the … 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 ... Analyst will support Wellington Management's global private investments compliance program as well as its global investment...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Wellington (Boston, MA)
- …+ 12+ years of legal and compliance experience working at an investment adviser to private credit or direct lending fund(s) + Bachelor's degree ... clients. **About the Role** The Head of Private Credit Compliance will support and provide leadership to Wellington Management's...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Principal Financial Group (Des Moines, IA)
- …support the private funds compliance program with both broker dealer and investment adviser responsibilities. In this role you'll have the chance to work ... **What You'll Do** As a Director of Compliance in Principal Asset Management you'll support Private...efforts in the global wealth channel including real estate investment trusts and private funds. + Review selling agreements,… more
- Capital One (New York, NY)
- …financial services OR 8+ years of experience with a regulator overseeing broker dealers or investment adviser + Series 24 or 9/10 At this time, Capital One will ... NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report… more
- Principal Financial Group (Des Moines, IA)
- …support the private funds compliance program with both broker dealer and investment adviser responsibilities. In this role you'll have the chance to work ... **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private Funds. This person will primarily… more
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