- Manulife (Boston, MA)
- …initiatives, while maintaining robust oversight of local, SEC registered fund and investment adviser compliance policies, procedures, and testing programs. ... to regulatory requirements + Assist in the remediation of Adviser and Fund compliance issues. + Manage...Oversee regulatory filings for the Funds and multiple registered investment advisers. + Perform Fund and Adviser … more
- Wellington (Boston, MA)
- …and Risk Group to drive coordinated outcomes Qualifications + 3+ years of relevant investment adviser compliance experience + Familiarity with Investment ... those of our clients. **About the Role** POSITION The Compliance Senior Analyst will support Wellington Management's Americas ...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- GE Vernova (New York, NY)
- …across FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute ... broker-dealers which are FINRA-member firms. + Experience with and understanding of compliance obligations for investment advisers registered with the Securities… more
- Vanguard (Malvern, PA)
- …Strong working knowledge of SEC regulations, fund governance, disclosure obligations, and investment adviser compliance . + Excellent drafting, negotiation, ... Join Vanguard as a Legal Counsel specializing in the Investment Company Act of 1940. This role offers the...the future of Vanguard. Responsibilities: + Advise on the Investment Company Act of 1940 and related rules and… more
- Trexquant Investment (Stamford, CT)
- …teams to proactively manage legal risk and guide the company's investment -related legal efforts. Responsibilities: + Manage maintain and advise on fund ... of nuanced topics in the financial market space + Support the company's compliance with SEC regulatory requirements and industry best practices by working closely… 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: $70,000 -… more
- City National Bank (New York, NY)
- …7 years of compliance , regulatory compliance with respect to registered investment adviser products and services. * Minimum 5 years of financial services ... a financial institution such as a broker/dealer and/or registered investment adviser / and the OCC. * For...Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base… more
- Guardian Life (New York, NY)
- …wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance testing program ... Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance ...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- Wellington (Boston, MA)
- …vision. + Ensure adherence to internal controls, audit standards, and financial compliance related to Investment Platform operations. + Drive cost efficiency ... **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 (New York, NY)
- …designing and monitoring information controls is a plus + Experience working at an investment adviser or some working knowledge of (i) Control Room or ... those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- T. Rowe Price (Owings Mills, MD)
- …experience Preferred: + Knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund and ETF compliance regulations, programs and best ... Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price's proprietary and subadvised...the opportunity to leverage subject matter expertise of the Investment Adviser Act of 1940, as amended… more
- SMBC (New York, NY)
- …attorney to provide comprehensive legal coverage and oversight for its affiliated US investment adviser . This is a leadership position requiring sound judgment ... advice on proposed business activities of a newly launched investment adviser , initially focusing on loan and...investment management business. Collaborate closely with legal and compliance colleagues across SMBC Group. + Draft, review, and… more
- Aegon Asset Management (Denver, CO)
- …For more information, visit transamerica.com . Job Description Summary Perform strategic compliance risk program design and oversight of investment and ... compliance risk programs designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers...risk management functions + Extensive knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund,… more
- Wellington (Boston, MA)
- …with those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance ... Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- Charles Schwab (Southlake, TX)
- …work experience. * Working knowledge of electronic communications requirements, employee trading and Investment Adviser Codes of Ethics SEC rules and guidance. * ... status quo" and transform the finance industry together. In Compliance , we help our business partners achieve their strategic...The Manager will join an engaging and dynamic Employee Compliance Team. This role will be responsible for supporting… more
- Wellington (Boston, MA)
- …activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser , including licensing, marketing, and disclosure rules + ... legal team that collaborates closely with our business and Compliance colleagues to advance key initiatives of the firm....investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… 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...in assets under management, we serve as a trusted adviser to institutional clients and mutual fund sponsors in… 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 30 September 2018, we serve as a trusted adviser to institutional clients and mutual fund sponsors in… 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 ... standard collateral (intake → content gathering → layout → compliance review → delivery). + Track and prioritize the...level of skill or training. More information about each adviser including the investment strategies, fees and… more