- GE Vernova (New York, NY)
- …across FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute ... broker-dealers which are FINRA-member firms. + Experience with and understanding of compliance obligations for investment advisers registered with the Securities… more
- City National Bank (New York, NY)
- …with a financial institution such as a broker/dealer and/or registered investment adviser . * Experience working within a Compliance Investment Management ... resolution. * Procedure Development: Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations, Legal and Compliance … more
- Securities and Exchange Commission (Washington, DC)
- Summary The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and ... facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers. IM's Office of the… 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
- City National Bank (Los Angeles, CA)
- …a financial institution such as a broker/dealer and/or registered investment adviser . * For Wealth Management Compliance roles, experience working within a ... * Minimum 5 years of experience in banking operations, compliance and/or risk management activities *Additional Qualifications* * Strong... Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting… more
- Guardian Life (New York, NY)
- …wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance testing program ... Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance ...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more
- AON (Chicago, IL)
- …US Are you a Compliance Analyst with experience within a SEC-registered investment adviser ? This could be a phenomenal opportunity for you. Aon is ... of experience in a compliance function for a SEC-registered investment adviser , + Proven ability to work independently and collaboratively in a team-oriented… more
- Manulife (Boston, MA)
- … compliance , portfolio accounting or other relevant regulatory or investment company experience **Preferred Qualifications:** + Project Management experience + ... The Compliance Manager is responsible for the execution and/or... with federal securities laws applicable to John Hancock Investment Company products, the John Hancock Group of Funds… more
- Wellington (Boston, MA)
- …with those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Lincoln Financial (Hartford, CT)
- … policies and procedures and provides other legal support on fund and adviser compliance matters. * Providing legal advice regarding strategic initiatives of ... Funds Management and related business lines/products; and regarding new fund development and compliance . * Advising fund complex and adviser or on new laws,… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … 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 ... Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… 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, ... to the firm's online investing platform, digital account opening, investment funding, margin and lending. + Identify compliance... investment funding, margin and lending. + Identify compliance and conduct risks inherent within JPMWM + Act… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... fairly, and to give them the best chance for investment success. Known for our strong ethical business practices...of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and… 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 ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...who are located outside of the US but provide investment management support to Epoch as part of a… 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 ... structure, ensuring alignment with strategic business needs. + Partner with investment teams, technology leadership, compliance , and operations to anticipate… more
- Jackson National Life Insurance Company (Lansing, MI)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... please login to Workday and apply through Jobs Hub._** **Job Purpose** **The Compliance Analyst is responsible for the monitoring of policies and procedures to… more
- Robert Half Legal (Charlotte, NC)
- …Compliance Manager to lead and shape the compliance program for an SEC-registered investment adviser . This is your chance to not only make an impact but ... Description Compliance Manager Opportunity - Career Growth Awaits! ⚖️...- Career Growth Awaits! ⚖️ Are you a passionate compliance professional seeking a career where strategic leadership meets… more