- Fidelity TalentSource LLC (Boston, MA)
- …Committee for key program reporting and decision-making.\u00A0Key partners include: Investment Management, Compliance , Legal, Risk, Treasurers Office, Product, ... and other Illiquid Alternative investments and products is a plusBackground in investment accounting/audit, compliance , or risk management at a financial… more
- Fidelity TalentSource LLC (Boston, MA)
- …focused customers. You will work with the sales team, traders, underwriter, relationship manager , compliance , and operations to support fixed income sales in a ... You BringBachelor's DegreeSeries 7 and 63 (if not currently registered , exams must be passed within three months of...employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own… more
- AON (Chicago, IL)
- Aon Investments USA is looking for Senior Manager , Investment Compliance As part of an industry-leading team, you will help empower results for our clients ... investment team. Your impact as a Senior Manager , Investment Compliance Aon Investments...Required Experience: + 7+ years of experience in a compliance function for an SEC- registered investment… more
- National Renewable Energy Laboratory (Golden, CO)
- **Posting Title** Capital Investment Portfolio Manager - Planning & Finance . **Location** CO - Golden . **Position Type** Regular . **Hours Per Week** 40 . ... financial management of all NREL Capital Investments. The Capital Investment Portfolio Manager - Planning & Finance...determining the salary level for potential new employees. In compliance with the Colorado Equal Pay for Equal Work… more
- KPMG (Dallas, TX)
- …years of recent tax experience in the financial services industry supporting registered investment funds and alternative investments ( investment partnership ... **Business Title:** Seasonal Tax Senior Manager , Alternative Investment Partnerships **Requisition Number:** 112028 - 87 **Function:** Tax Services **Area of… more
- BMO Financial Group (SD)
- …opportunities for growth; all formal complaints must be immediately shared with the Manager and/or Compliance Officer -Possess strong knowledge and act as ... **Work Schedule: Monday-Friday,** **10 am to 7pm Central Time** The BMO Investment Services (BIS) Investment Service Specialist's primary responsibility is to… more
- Belcan (Hebron, OH)
- Capital Investment Procurement Sourcer Job Number: 348588 Category: Finance/Accounting Description: Belcan is excited to be helping our client in hiring a Capital ... Investment Procurement Sourcer in Hebron Ohio ! Job Title:...for the entire purchasing process (S2C) and to ensure compliance to the applicable regulations and procedures. The position… more
- Manulife (Boston, MA)
- …today. **Working Arrangement** Hybrid **Job Description** ** Compliance Manager ** The Compliance Manager , US Investment Management Compliance , is ... Ethics Oversight responsibilities **How will you create impact?** The Compliance Manager role on our Monitoring and...SEC Form ADV filing processes for our two SEC Registered Investment Advisers and for assisting with… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support the Capital Markets line… more
- Citigroup (Jacksonville, FL)
- …to Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. Position is responsible for providing best in ... class service on Banking and/or Investment inquiries, and ensuring risk is prudently managed. **Responsibilities:**...and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a… more
- City National Bank (Los Angeles, CA)
- …with a financial institution such as a broker/dealer and/or registered investment adviser. + For Wealth Management Compliance roles, experience working ... ** MANAGER COMPLIANCE PROGRAM SENIOR** **WHAT IS...** MANAGER COMPLIANCE PROGRAM SENIOR** **WHAT IS THE OPPORTUNITY?** The...within a Compliance Investment Management role. **Compensation** Starting base salary: $141,830 -… more
- Hackensack Meridian Health (Lodi, NJ)
- …Health Benefits, generous Paid Time Off, Travel Reimbursement as well as an investment in your future with a 401(k) match and Tuition Reimbursement. Per Diem ... work that leads to fulfillment and professional growth. **Responsibilities** As a Registered Nurse, the IV Clinical Sales Liaison will collaborate with physicians,… more
- Hackensack Meridian Health (Wall, NJ)
- …Health Benefits, generous Paid Time Off, Travel Reimbursement as well as an investment in your future with a 401(k) match and Tuition Reimbursement. Per Diem ... accordance with organization policies and procedures and external regulations. + Assure compliance with appropriate physician orders in a timely manner and that… more
- Hackensack Meridian Health (Little Falls, NJ)
- …Health Benefits, generous Paid Time Off, Travel Reimbursement as well as an investment in your future with a 401k match and Tuition Reimbursement. We invite ... accordance with organization policies and procedures and external regulations. + Assure compliance with appropriate physician orders in a timely manner and that… more
- Banner Health (Phoenix, AZ)
- …Workplaces 2023 for Diversity. These recognitions reflect Banner Health's investment in team members' professional development, wellness benefits, and continued ... promoting work-life balance, and boosting employee engagement. As the **Associate Director Registered Nurse RN Intraop , you will bring your leadership experience… more
- City of New York (New York, NY)
- …and/or carrying out compliance functions for a large and/or complex SEC registered investment advisor, broker/dealer, consulting firm, or in a related area; ... manager recommendations and investments. - Assisting the CCO in performing a compliance review of presentation materials such as investment memos and… more
- Banner Health (Greeley, CO)
- …Workplaces 2023 for Diversity. These recognitions reflect Banner Health's investment in team members' professional development, wellness benefits, and continued ... and utilizes input from staff and oversees change implementation. Ensures compliance with appropriate regulatory agencies. 3. Facilitates communication of system,… more
- City and County of San Francisco (San Francisco, CA)
- …with investment managers, SFERS' custodian, and service providers to ensure compliance with manager investment guidelines and SFERS' investment ... that could affect SFERS' investments. + Responsible for monitoring external manager investment performance and the factors affecting performance, including… more
- Neuberger Berman (New York, NY)
- …CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment ... expert networks and (2) internal research analysts to ensure compliance with federal securities laws and company policies +...in 1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities… more
- Guardian Life (New York, NY)
- …for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser. The incumbent will lead the implementation ... requirements. Candidates must have a broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and key regulatory… more
