- Equitable (Charlotte, NC)
- Product Manager, Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... the Product Manager include: + Responsible for the initial and ongoing due diligence of complex products including but not limited to alternative investments,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through experience and formal training to develop and maintain an investment due diligence program. Coverage universe will span the spectrum from ... slides based on analysis performed. Collaborate with Raymond James Due Diligence teams to obtain information needed...a minimum of five (5) years experience at a broker / dealer , registered investment advisor or asset manager.… more
- Equitable (Charlotte, NC)
- FIU Enhanced Due Diligence Manager ( 240000NG )...+ 5 years of industry experience in insurance or broker dealer service operations, compliance or audit ... position is based in our Charlotte, NC office. The AML Enhanced Due Diligence Manager ("EDD Manager") will support the maintenance and control design strategy… more
- T. Rowe Price (Baltimore, MD)
- … Due Diligence + Perform independent credit analysis and due diligence on new and existing bank and broker / dealer counterparties used for trade ... determine creditworthiness + Experience performing and overseeing due diligence on financial counterparties, including banks, broker /dealers, and… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In...is a plus; + Proficiency with market data and due diligence vendors, such as Bloomberg, Reuters,… more
- Ascensus (Dresher, PA)
- …Anti-Money Laundering (AML) compliance program; Assists with various aspects of the due diligence process of third party investment managers as performed ... and government savings facilitator. The regulated entities may include a broker - dealer , registered investment advisory firms, and transfer agent securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …support the products and the Financial Advisors who recommend them. May support operational due diligence efforts on funds on the Raymond James platform. Will ... equity funds. In addition, the individual may support operational due diligence efforts on funds on the...a hedge fund, private equity firm, institutional consultant, or broker dealer + Client disclosure concepts and… more
- TD Bank (Scotch Plains, NJ)
- …by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence ... expertise of others **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May… more
- Guardian Life (Columbus, OH)
- …case design, strategy, and implementation for client portfolios + Partner with research and due diligence team for review and strategy of portfolio analysis. + ... life and annuity insurance products. Park Avenue Securities is Guardian's broker - dealer and corporate Registered Investment Advisor (RIA), which offers… more