- Wellington (Boston, MA)
- …Enterprise Risk Group to drive coordinated outcomes Qualifications + 8+ years of relevant investment adviser compliance experience; mutual Fund and ETF ... Compliance Officer** company overview Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global… 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 (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 ... **Mortgage Compliance Manager** **WHAT IS THE OPPORTUNITY?** The Head... Compliance Investment Management role. **Compensation** Starting base salary: $141,830 -… 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 ... **MGR COMMERCIAL BANKING COMPLIANCE ** **WHAT IS THE OPPORTUNITY?** The Manager of... Compliance Investment Management role. **Compensation** Starting base salary: $141,830 -… more
- Securities and Exchange Commission (Philadelphia, PA)
- …Philadelphia Regional Office is filling one position for a Supervisory Attorney- Adviser , SK-0905-15 in Philadelphia, PA. Responsibilities At the Securities and ... and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy.… 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 (Newark, DE)
- …a financial institution such as a broker/dealer and/or registered investment adviser . + For Wealth Management Compliance roles, experience working within a ... + Minimum 8 years of experience in banking operations, compliance and/or risk management activities **Skills and Knowledge** +... Compliance Investment Management role. **Compensation** Starting base salary: $101,231 -… 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 8 years of experience in banking operations, compliance and/or risk management activities **Skills and Knowledge** +... Compliance Investment Management role. **Compensation** Starting base salary: $101,231 -… more
- Robert Half Finance & Accounting (New York, NY)
- …Investment firm based in midtown Manhattan New York. Our client requires 2+ years' Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or ... and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a...new and existing regulations Requirements Qualifications: + 2+ years' Investment Compliance experience at an RIA, Asset… more
- Manulife (Boston, MA)
- …etc.) is an asset. Additionally, knowledge of the investment adviser and/or mutual fund industry (ie, compliance monitoring, fund accounting/administration, ... **Responsibilities:** + Conduct pre-trade, post-trade and end of day batch investment compliance monitoring activities for an assigned group of client accounts.… more
- Citizens (OH)
- … Officer of the firm. + Accomplished background in brokerage, insurance, investment adviser , and general securities matters required. + Requires experience ... The First Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage and Investment management Supervision. Experience in… 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
- 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
- Wellington (Chicago, IL)
- …inquiries or examinations, as appropriate Qualifications + 2-4 years of relevant investment adviser experience and Bachelor's degree. FINRA designations (ie, ... perspectives with those of our clients. **About the Role** ** Compliance analyst, client platform Compliance ** Position overview...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Edward Jones (Tempe, AZ)
- …+ Develop and update compliance policies and procedures. + Provide ongoing compliance support to the funds and the adviser . + Facilitate regulatory ... might be for you! Edward Jones is seeking a Compliance Counsel to support the growth of its affiliated...policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the … more
- JPMorgan Chase (New York, NY)
- …knowledge of investment products and services marketed through a bank, registered investment adviser (RIA), or broker-dealer, and related SEC, OCC and FINRA ... basis to line of business and control partners. **Job Responsibilities** + Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team… more
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