- Fidelity TalentSource LLC (Boston, MA)
- …of various aspects of Fidelity s registered and private funds and investment advisory services, including liquid alternatives, business development companies, ... Committee for key program reporting and decision-making.\u00A0Key partners include: Investment Management, Compliance , Legal, Risk, Treasurers Office, Product,… more
- Charles Schwab (Westlake, TX)
- …to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker-Dealer and Investment Adviser programs. Though this is ... with a general understanding of broker-dealer, financial holding company, bank, and investment advisory businesses, as well as testing standards/methodologies +… more
- Truist (Charlotte, NC)
- …and proactively identifying, mitigating, and managing risks within Corporate and Investment Banking - Investment Banking Coverage, Capital Markets Origination ... and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and… 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...Director on the development and delivery of training to investment advisory staff on policies and procedures… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …large or multiple testing projects with significant scope and impact for the Investment Advisers Act of 1940 Section 206(4)-7 compliance obligations. Works ... identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a controls… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more
- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses. This role will ... make a difference. We are a premier asset manager focused on delivering global investment management...industry. Responsibilities + Assist the Head of North America Compliance in overseeing and managing the firm's investment… more
- Avanade Inc. (Charlotte, NC)
- Group/Senior Manager , Digital Manufacturing Advisory Pair your adaptable, collaborative, curious mindset with your tech skills to help clients digitally ... help a non-profit better serve kids with needs? An Advisory role at Avanade offers you a purposeful career....expertise to reduce costs, boost performance, and ensure industry longevity/ compliance . What you'll do * Drive market demand in… more
- TD Bank (New York, NY)
- …**Job Description:** **Preferred Qualifications:** We are seeking a Vice President, Fixed Income Compliance Advisory to join TD Securities in NYC. The ideal ... candidate must have compliance advisory experience, supporting fixed income business lines and will focus on providing real-time compliance advice to the TD… more
- TD Bank (Chicago, IL)
- …details for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** 190,000 - 250,000 USD TD is committed to providing fair… more
- Alight (Charlotte, NC)
- ** Advisory Team Manager ** **Are you looking for a new opportunity to lead a goal-oriented team?** **Are you passionate about building relationships and ensuring ... market pricing, delivery needs, client expectations, etc . Have intermediate compliance , regulatory and legislative knowledge in investment advice **Flexible… more
- HUB International (Gardner, MA)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB ... We currently have an opportunity for an **Assistant** **Account Manager ** (with potential for hybrid work) to join our...(with potential for hybrid work) to join our **Client Advisory Team.** The selected employee will be responsible for… more
- Alight (IL)
- …consulting skills, driving to best practices (3 years) + Understanding of investment advisory solutions and the marketplace including competitors, market ... **Customer Success Client Manager ** Are you passionate about building relationships and ensuring company success? Are you excited by the prospect of creatively… more
- HUB International (South Hadley, MA)
- …their own unique, regional culture. We currently have an opportunity for an **Account Manager - Client Advisory Team** . The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- HUB International (Gardner, MA)
- …500 offices across North America. We currently have an opportunity for an **Account Manager ** on our **Client Advisory Team.** The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- Deloitte (Columbus, OH)
- …a Tax Manager , you will utilize your prior experience to provide tax compliance and advisory services to investment management clients. You will assist ... have an exciting opportunity for you as a Tax Manager on our growing team! Recruiting for this role...tax filings + Preparing and leading client meetings on compliance and advisory projects related to tax… more
- Scotiabank (New York, NY)
- Manager , US Investment Banking Product Control **Requisition ID:** 197379 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... winning team, committed to results, in an inclusive and high-performing culture. ** Manager , US Investment Banking Product Control (197379)** **Global Banking and… more
- HUB International (Omaha, NE)
- …outgoing, people-oriented person? If so, this is the career for you.** As a Manager of Investment Services **,** you will **build relationships** with clients ... to work towards your **career goals** **.** **Your job responsibilities as the Manager of Investment Services:** + Plan investments, tracking performance, risk,… more
- Deloitte (Houston, TX)
- …solid understanding of Subchapter K, partnership allocation methodologies, and the tax compliance process for investment partnerships, we have an exciting ... opportunity for you as a Senior Tax Manager on our growing team! Recruiting for this role...you will utilize your prior experience to provide tax compliance and consulting services to investment management… more
- US Bank (New York, NY)
- …from Day One. **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager is a senior level management position that is responsible for coordination ... the fiduciary products and services within US Bank's Wealth Management and Investment Services businesses. This role supports the Audit Director for Wealth… more
