- 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
- USAA (Charlotte, NC)
- …following securities licenses 7, 24, 63, 65, or 66. + Broker Dealer and / or Investment Adviser Risk / Compliance experience. + Compliance risk ... oversight and guidance regarding business products, services, and processes through a compliance framework to ensure they are driven in accordance with regulatory… 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
- US Bank (Minneapolis, MN)
- …pertaining to compliance . **_Additional Information:_** A minimum of five years of compliance experience in investment adviser , mutual fund regulatory ... diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also...will likely include significant roles and responsibilities in the compliance area of investment management company and/or… more
- Securities and Exchange Commission (Los Angeles, CA)
- …The Division of Examinations-Los Angeles Regional Office is hiring a Supervisory Attorney- Adviser in Los Angeles, CA. Responsibilities At the Securities and Exchange ... and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy.… more
- Securities and Exchange Commission (Washington, DC)
- Summary The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and ... facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered ...Accounting Office #2 is seeking to fill one temporary Attorney- Adviser - Sr. Special Counsel position in Washington, DC.… 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
- 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
- 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
- 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
- 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
- Nuveen Investments (Frisco, TX)
- …controls. + Experience working in the securities industry, working for an investment adviser or broker-dealer, and prior experience supporting client services ... This role provides Compliance support to Nuveen Global Client Services, with...or other non-annual incentive plans). **Company Overview** Nuveen, the investment manager of TIAA, offers a comprehensive range of… 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 Compliance Analyst within Principal Asset Management you'll support Private Funds. This person will primarily… more
- Trexquant Investment (Stamford, CT)
- …looking for someone to join our team and become a manager of platform compliance for a systematic investment firm (for private funds) with solid foundations, ... variety of statistical and machine learning techniques to build investment portfolios and trade our client assets in global...veteran senior staff. This opportunity is ideal for a compliance professional who strives to work on diverse projects… more
- Wellington (Needham, AL)
- …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 June 2021, we serve as a trusted adviser to institutional clients and mutual fund sponsors in… more
- Wellington (Boston, MA)
- …teams across the firm, including private investment valuation and operations, investment product and fund services, legal & compliance , tax, and information ... as first line of defense for pre- and post-trade compliance monitoring + Review and resolve discrepancies on reconciliation...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Jackson National Life Insurance Company (Lansing, MI)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... login to Workday and apply through Jobs Hub._** **Job Purpose** **The Senior Compliance Analyst is responsible for the implementation and monitoring of policies and… 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 ... accurate records and reports of payroll transactions. + Ensures compliance with federal, state and local payroll, wage, and...level of skill or training. More information about each adviser including the investment strategies, fees and… more
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