- City National Bank (New York, NY)
- …* Experience with a financial institution such as a broker/dealer and/or registered investment adviser . * Experience working within a Compliance Investment ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US*...advisors and their high-net-worth clients to build intelligently personalized investment portfolios. CNR provides investment research, portfolio… more
- AON (Chicago, IL)
- …Aon Investments US Are you a Compliance Analyst with experience within a SEC-registered investment adviser ? This could be a phenomenal opportunity for you. Aon ... clients succeed. Aon Investments USA Inc. ("AIUSA") is a registered investment adviser with the Securities and Exchange Commission ("SEC"). Aon's investment… 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 ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Arena Investors LP (Jacksonville, FL)
- …. Review of compliance policies and procedures; . Administration of firm ( Investment Adviser and Broker-Dealer) annual compliance review (testing and ... . 7 - 10 years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer… more
- Access Dubuque (Dubuque, IA)
- …Investment Services, LLC** **(NMIS)** ( Investment Brokerage Services), a registered investment adviser , broker-dealer, and member of FINRA and SIPC, and ... . Asset & Income Protection . Education Funding . Investment & Advisory Services . Trust Services . Retirement...Northwestern Mutual Wealth Management Company(R) (NMWMC) ( Investment Advisory Services), a federal savings bank. NM and… more
- City National Bank (Jersey City, NJ)
- …* Provide transactional and regulatory counsel to the Bank and its registered investment adviser , broker-dealer, and registered investment fund subsidiaries ... wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and broker-dealers is essential as is the ability to… more
- Foresters Financial Services (Westbury, NY)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Foresters Financial Services (Cleveland, OH)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- US Bank (Minneapolis, MN)
- …Management** **team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- US Bank (Minneapolis, MN)
- …Asset Management team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- First Horizon Bank (Knoxville, TN)
- …in job posting **Summary** Portfolio Manager / Business Development Officer at Registered Investment Adviser with $1.5 billion in assets under management. Work ... managers in the development and execution of the Martin & Company investment strategies. **Key Responsibilities Include** + Assist in equity and fixed income… more
- GE Vernova (New York, NY)
- …FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute controls ... principles and best practices. + Energy sector, infrastructure and/or development investment experience. + Experience with US and/or global regulatory regimes… more
- First National Bank of Omaha (Omaha, NE)
- …such as Bloomberg and FactSet. Tributary Capital Management is a SEC Registered Investment Adviser headquartered in Omaha, Nebraska. We provide asset management ... services to institutions, individuals, and investment companies and manage approximately $2.8 billion in multiple...fundamental research and security valuation. We have a long-term investment horizon, which we feel is a key to… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, ... supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief… more
- JPMorgan Chase (New York, NY)
- …in financial investment products and services offered by a broker-dealer and investment adviser (eg investments such as fixed income, equity, listed options, ... not limited to the firm's online investing platform, digital account opening, investment funding, margin and lending. + Identify compliance and conduct risks… more
- MyFlorida (Tampa, FL)
- …experience working in risk management, compliance, operations, or the front office of an investment adviser or broker-dealer. + Individuals who hold or have held ... regulatory or compliance work experience relating to securities dealers, investment advisers, financial institutions, financial services companies or insurance… more
- Raymond James Financial, Inc. (Seattle, WA)
- …billion of assets under administration._ _About Raymond James:_ _RJA is an investment adviser and full-service broker-dealer dually registered with the ... include private clients, institutional equity and fixed-income institutional sales, investment banking, trading activities, and operations and administration. RJA… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard… more
- Jackson National Life Insurance Company (Nashville, TN)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... Director will support and promote the sale of Jackson's suite of investment products through advanced retirement and wealth planning strategies. The Director acts… more
- TD Bank (Charlotte, NC)
- …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is ... supervision of employees who are located outside of the US but provide investment management support to Epoch as part of a participating affiliate arrangement. In… more