- CalSTRS (Sacramento, CA)
- Job Posting: Investment Officer III, Investment Compliance State Teachers' Retirement System JC-501517 - Investment Officer III, Investment ... to work as an Investment Officer III (IO III) on the Investment Compliance team. CalSTRS Investment Performance & Compliance team is comprised… more
- Aflac (New York, NY)
- 2026 Summer Global Investments Intern- Investment Compliance The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global ... Program Overview + The summer internship is anintensive 10-week virtual programwithin the Investment Compliance team, a team responsible for working with teams… more
- Robert Half Finance & Accounting (Fort Worth, TX)
- Description We are looking for an experienced Investment Analyst specializing in compliance to join our team in Fort Worth, Texas. exciting Opportunity: ... Investment Analyst - Compliance at our leading investment firm in Fort Worth, Texas! Leverage your investment firm experience in this dynamic hybrid role,… more
- City National Bank (New York, NY)
- …* For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $99,000 to ... * COMPLIANCE OFFICER SENIOR- INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and advisory… more
- Deloitte (Detroit, MI)
- …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
- Equitable (New York, NY)
- …Oversee ALM implementation, collaborating with stakeholders to guarantee strategic alignment. + ** Investment Policy & Compliance ** : Create and maintain ... investment guidelines, establish risk limits, and ensure compliance with regulatory frameworks. Monitor policy adherence, aiming for zero violations of … more
- State of Michigan (East Lansing, MI)
- …with specific contract terms, with a high level of knowledge of all investment performance, compliance and legal requirements. Our culture is driven by ... Treasury Investment Specialist 13-15 Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/5176649) Apply Treasury Investment Specialist 13-15… more
- Tompkins Community Bank (Plymouth Meeting, PA)
- …& Management of the Investment Program - Oversee the multi-billion-dollar TFA investment portfolio. Ensure compliance with TFA's Investment Policy and ... + Investment Program Management + Administer and manage TFA's multi-billion-dollar investment portfolio. + Ensure compliance with investment policies and… more
- Truist (New York, NY)
- …SunTrust Advisory Services, and relevant regulatory policies and procedures. Work with Investment Managers and compliance to monitor client portfolios relative ... 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
- Truist (Atlanta, GA)
- …9. Assist with special projects for the Investment Managers. 10. Assist Investment Analyst with compliance exception items. 11. Assist with special projects ... Provides in-office client and advisor support interfacing with our affluent Investment clients and Centers of Influence. Provide essential Investment … more
- JPMorgan Chase (Jersey City, NJ)
- …stress testing, assessing capital adequacy, managing clients assets, informing investment process, measuring compliance with internal limits, maintaining ... of the drivers of balances and revenues for different investment banking and Markets products and businesses by using...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more
- Wellington (Boston, MA)
- …Risk Group to drive coordinated outcomes Qualifications + 3+ years of relevant investment adviser compliance experience + Familiarity with Investment ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … 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 ... with other compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance Analyst's primary… more
- Manulife (Boston, MA)
- …initiatives, while maintaining robust oversight of local, SEC registered fund and investment adviser compliance policies, procedures, and testing programs. This ... and global initiatives. **Required Qualifications:** + 10+ years of experience in investment operations, compliance , auditing, or regulatory roles within the… more
- Beth Israel Lahey Health (Charlestown, MA)
- …will have experience analyzing capital structure, supporting debt issuance and compliance , and managing day-to-day investment activities. This role will ... facilities, bond indentures, and commercial paper programs. + Oversee daily investment operations, including trade processing, cash positioning, compliance … more
- City and County of San Francisco (San Francisco, CA)
- …Coordinate with investment managers, service providers, and colleagues to ensure compliance with investment policies and accurate reporting of investments. + ... San Francisco and their survivors. What We Do The Investment Division serves as a resource to the Retirement...resource to the Retirement Board in the development of investment policies and practices. In accordance with the annual… more
- Vanguard (Malvern, PA)
- …a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized ... to fiduciary excellence. Ideal candidates will bring deep knowledge of investment advisory compliance , a proactive mindset, and a passion for innovation in the… more
- Guardian Life (New York, NY)
- …and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance and regulatory processes and procedures ... investment adviser entities. + Assist with the Firm's Compliance testing program and the review and maintenance of...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- Principal Financial Group (Charlotte, NC)
- …speaking or presenting as required + Manage travel/expense budgets; adhere to Principal's Compliance and Investment Code of Ethics. + Adhere to compliance ... **What You'll Do** We're looking for a Market Director- Investment Only(DCIO), Southeast market to join our team! In this role you'll lead Principal's DCIO… more
- Publicis Groupe (New York, NY)
- …+ Pull and compile data on a regular and as needed basis + Work with Investment teams to ensure compliance and accuracy in buying platforms and provide system ... and more. **Overview** **Position Summary:** The Sr. Associate supports the Investment Operations Director and Manager with processes, systems management and general… more
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