- T. Rowe Price (Baltimore, MD)
- …firm's investment compliance monitoring system, Charles River. The Investment Compliance Officer identifies, interprets, and programs restrictions ... client operations managers and other internal and external parties. The Investment Compliance Officer also assesses the impacts of regulatory changes,… more
- Zions Bancorporation (Salt Lake City, UT)
- …You bring the talent; we bring the opportunity. We are currently seeking an Investment Compliance Officer within the Market, Liquidity, Wealth Risk & ... Dealer, Capital Markets and Public Finance groups. Responsibilities: A Risk & Compliance Officer within MLW provides leadership, analytical skills, and… more
- City of New York (New York, NY)
- …of plan beneficiaries and the City of New York. Reporting directly to the Chief Investment Officer , the Deputy Chief Investment Officer (DCIO) will ... will oversee this effort led by our Chief ESG Officer . We have an obligation to pay benefits to...capital calls and distributions, amendment requests, consent notices and compliance with investment agreements; Measure and present… more
- City of New York (New York, NY)
- …steward of the resources of plan beneficiaries and the City of New York. The Investment Officer will assist in overseeing the investment activity for the ... for the five New York City pension systems. The Investment Officer will report to the DCIO...and other related contracts; Assist with manager risk and compliance review and assessment; - Monitoring the portfolio of… more
- City of New York (New York, NY)
- …steward of the resources of plan beneficiaries and the City of New York. The Investment Officer will assist in overseeing the investment activity for the ... for the five New York City pension systems. The Investment Officer will report to the DCIO...and managing the portfolio of existing investments to ensure compliance with the terms of the limited partnership agreement… more
- Wells Fargo (Charlotte, NC)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... (CIB), specifically for the coverage sectors within investment banking. **In this role, you will:** + Develop, oversee, train, and provide expert business and… more
- Federal Reserve Bank (Newark, NJ)
- **Company** Federal Reserve Bank of Atlanta The SVP, Chief Investment Officer for the Office of Employee Benefits (OEB) in Newark, NJ, impacts the direction of ... role - to model expectations and to support the investment team. Additionally, occasional presence in the Atlanta Bank...equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where… more
- Bank OZK (Clearwater, FL)
- …to benchmarks. + Communicates with clients and internal partners regarding various investment policies, procedures, and compliance issues. + Analyzes portfolios ... client portfolios including asset management, research, and analysis for all investment products including but not limited to individual securities, mutual funds,… more
- Wells Fargo (Tempe, AZ)
- …The Independent Testing and Validation Team is seeking a Lead Independent Testing Officer to support the Corporate and Investment Banking Independent Testing and ... reviews) + Knowledge and understanding of financial services industry, including compliance , risk management, and/or audit operations. + Ability to prioritize work,… more
- Enterprise Bank & Trust (Clayton, MO)
- …Trust Officer and Administrator. Such issues will typically include investment risk tolerance assessment, asset allocation analysis, investment reviews and ... explain a variety of investment vehicles and options. + Ensure proper regulatory compliance in processes and procedures for the team. + Ensure a high level of… more
- JPMorgan Chase (New York, NY)
- …and portfolios. + Enhance risk oversight processes, policies, and procedures for Investment , Liquidity and Counterparty Risk, ensuring compliance is maintained + ... Managementhas one of the industry's most comprehensive and well-regarded alternative investment businesses, with more than $170 billion in Assets Under Management… more
- BMO Financial Group (IL)
- …for growth; all formal complaints must be immediately shared with the Manager and/or Compliance Officer -Possess strong knowledge and act as resource on software ... **Work Schedule: Monday-Friday,** **10 am to 7pm Central Time** The BMO Investment Services (BIS) Investment Service Specialist's primary responsibility is to… more
- Raymond James Financial, Inc. (Hunt Valley, MD)
- **Description** **Job Summary:** This role reports to the Chief Investment Officer (CIO) and is chiefly responsible for assisting the CIO in the development of ... and technicals. This incumbent will also develop ad hoc presentations for Chief Investment Officer to participate at conferences and other client related events.… more
- Citizens (OH)
- …management products and services, including direct support to the Chief Fiduciary and Investment Officer of the firm. + Accomplished background in brokerage, ... The First Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage and Investment management Supervision. Experience in… more
- Emory Healthcare/Emory University (Atlanta, GA)
- …excellence of our academic community. **Description** Reporting to the Chief Operating Officer , the Director, Investment Administration is a specialist role ... focused on providing critical audit and tax oversight and support to Emory Investment Management. All Operations employees function as a member of a broader… more
- Berkshire Bank (Providence, RI)
- **Position** : VP, Investment Advisor & Financial Planner **Location** : Providence, RI **Division:** Asset Management **Department:** Berkshire Wealth Management ... **Reports to:** SVP, Wealth Management Administration **Status:** Exempt/ Officer **Grade:** 12 **Pay Range:** $80,083 - $158,503 _Actual compensation within the pay… more
- Robert Half Finance & Accounting (Dallas, TX)
- …and disclosures in SEC filings Maintain an excellent working relationship with the investment management teams, legal, compliance , as well as with other business ... Robert Half has teamed up with a world class investment firm to assist in the recruitment of a...basis prior to final review performed by Chief Accounting Officer Coordinate expectations, assignments, and deliverables with the Controller's… more
- Massachusetts Institute of Technology (Cambridge, MA)
- …functions involving investments and gifts. Responsibilities include accurately reporting investment and gift numbers, ensuring compliance with generally ... Manager, Investment and Gift Accounting + Job Number: 24078...for Finance (VPF), to be responsible for financial reporting, compliance , analysis, control, and improvement of complex accounting and… more
- Wells Fargo (Minneapolis, MN)
- …will report to the Governance & Risk Programs Senior Manager. The Corporate & Investment Banking (CIB) Chief Risk Officer (CRO) Governance & Risk Programs Senior ... activities. The function is led by the Chief Risk Officer , who reports to the chair of the Risk...develop specific subject matter expertise for the Corporate & Investment Banking Group including understanding of business strategy, the… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with… more