- T. Rowe Price (Baltimore, MD)
- …explore the opportunity to join us and grow your career with us. Role Summary Investment Compliance is a global team responsible for ensuring compliance with ... it relates to Compliance Restrictions coded into the firm's investment compliance monitoring system, Charles River (CRD), and supports client reporting on… more
- US Bank (Charlotte, NC)
- …skills and discover what you excel at-all from Day One. **Job Description** The Investment Compliance Specialist will provide investment compliance risk ... and overall compliance with regulations. + Provide oversight of client investment reporting and performance presentations. + Perform risk assessments on new … more
- Iowa Department of Administrative Services (Des Moines, IA)
- …successful candidate will act as IPERS' authoritative expert on internal and external investment compliance topics to safeguard IPERS' assets, and ensure IPERS' ... Investment Board and internal policies. Responsibilities include: + Establish an Investment Compliance Program which includes creating a work plan that… more
- Edward Jones (St. Louis, MO)
- …and regulators + Assist in the design, oversight, and enhancement of the firm's investment advisory compliance program to prevent, detect, and promptly address ... and ambiguous compliance , regulatory, and other issues involving the firm's investment advisory business + Partner with business areas and service providers to… more
- BlackRock (Atlanta, GA)
- …the world's largest asset manager? Look no further! BlackRock is currently seeking an Investment Guidelines Compliance Analyst to become a member of our team. We ... **About this role** Have a passion for the investment industry and an interest in programming? Are...industry and an interest in programming? Are you a compliance professional who is looking for a rewarding, challenging,… more
- Emory Healthcare/Emory University (Atlanta, GA)
- …to the diversity and excellence of our academic community. **Description** The Manager of Investment Operations Compliance is an integral member of the Emory ... audit workpapers. + Assists with internal and external reporting needs, including Investment Committee Report preparation and review. Regulatory Compliance : +… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity… more
- MUFG (Tempe, AZ)
- …The Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance support, ... guidance, and oversight to MUFG Bank's Global Corporate & Investment Banking ("GCIB") business unit. **Roles and Responsibilities:** The Compliance Officer will… more
- Neuberger Berman (New York, NY)
- … guidelines based on client or fund legal documents in collaboration with investment teams, legal and compliance , finance teams, and relevant NB Alternative ... group. AMGO serves as an independent control group, ensuring that investment portfolios remain compliant with regulatory, prospectus, client, and internal… more
- Santander US (New York, NY)
- Sr. Associate, AML Compliance - Corporate & Investment Banking New York, United States of America The Sr. Associate, AML Compliance is responsible, as ... due diligence processes, high-risk customer surveillance, special investigations, and OFAC compliance . The incumbent will work as a subject matter expert supporting… more
- US Bank (Philadelphia, PA)
- …for supporting the institutional registered investment adviser Outsourced Chief Investment Officer (OCIO) compliance function for US Bancorp Asset ... **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
- Deloitte (Denver, CO)
- …team, you will: + Maintain and develop strong client relationships on various investment compliance and consulting engagements within the insurance and financial ... be part of a group that sets the standard for investment management tax technology and provides tax compliance and consulting services to a variety of clients in… more
- Raymond James Financial, Inc. (FL)
- …industry to lead the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions ("GWS") Investment Products. Leads ... impact. Influences strategic direction and develops tactical plans for compliance initiatives. Maintains extensive contact with customers and regulatory agencies… more
- Lincoln Financial Group (Columbus, OH)
- … investment accounting's internal control system to ensure SOX compliance . Recommends enhancements. * Maintains knowledge on current and emerging ... on fixed income and derivative investments for existing and developing investment strategies for compliance with accounting/reporting regulations to appropriate… more
- Truist (Mclean, VA)
- …Advisory Services, and relevant regulatory policies and procedures. + Work with Investment Managers and compliance to monitor client portfolios relative to ... of America) **Please review the following job description:** The Investment Analyst (IA) is responsible for working with ...Investment Analyst (IA) is responsible for working with Investment Managers and the Investment Advisory Group… more
- Citigroup (Jersey City, NJ)
- …to respond to requests from the OCC, Internal Audit, and internal partners ( Compliance , Investment Risk, Operations, etc.) + Maintain monthly group vacation ... management experience, or experience in Risk, Internal Audit or Compliance a plus. + Familiarity with investment ...or Compliance a plus. + Familiarity with investment vehicles (stocks, bonds, alternative and derivative investments) +… more
- Lincoln Financial Group (Columbus, OH)
- …information on fixed income and other investments for existing and developing investment strategies for compliance with accounting/reporting regulations. * You ... Purpose of Job** As a regulatory GAAP and Statutory Investment Reporting Analyst, you will be responsible for providing...you will be responsible for providing timely and accurate investment reporting for the General Account Invested Assets on… more
- Banco Popular Puerto Rico (New York, NY)
- …subject matter expert on a variety of topics including but not limited to Investment Operations, Licensing, Compliance , and Sales + Provides information to FCs ... New York, NY, US, 10004 Company: Popular Workplace Type: On-site Investment Operations Officer Popular Investments Service Brokerage We are currently looking… more
- Applied Materials (Santa Clara, CA)
- …jurisdictions; (b) formation, negotiation, amendments to, and ensuring statutory and regulatory compliance for, investment limited partnerships in the US and the ... on private company equity and debt investments, including significant experience with investment adviser regulatory compliance , and (ii) material exposure to… more
- Robert Half Finance & Accounting (Boston, MA)
- …will get to dive into GAAP financial reporting, disclosures, valuations, analysis, investment structuring from compliance and tax structure (domestic and ... Description Assistant Director of Investment Finance + Metro Boston Area. + Must...Exciting, newly-created role! Our client, a unique and diverse Investment Manager in the Boston Area, is looking for… more
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