- 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
- 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
- Akin Gump Strauss Hauer & Feld LLP (New York, NY)
- …Asia and the Middle East. We are currently seeking a Paralegal to support the Investment Funds practice, reporting to the Paralegal Manager . The role will reside ... areas of law. Paralegals may also monitor regulations, legal developments and compliance procedures in their area of expertise. In addition, Paralegals may be… more
- Charles Schwab (Westlake, TX)
- … adviser compliance + Strong knowledge of regulatory expectations of SEC- registered investment advisers + Proficiency in Microsoft Office programs (Word, ... Compliance program complies with the requirements of Investment Advisers Act Rule 206(4)-7. The Senior Manager... Investment Advisers Act Rule 206(4)-7. The Senior Manager will report to the Director, Compliance … 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
- 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
- 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
- Banner Health (Phoenix, AZ)
- …Workplaces 2023 for Diversity. These recognitions reflect Banner Health's investment in team members' professional development, wellness benefits, and continued ... balance, and boosting employee engagement. As the **Associate Director Registered Nurse RN Intraop** , you will bring your...sub-specialty clinics, and with a new $400 million campus investment , a new patient tower and 2 new clinic… 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 ... care based on physician orders and the nursing plan of care, in compliance with policies and procedures, standards of care, and regulatory agency requirements.… more
- Robert Half (Washington, DC)
- JOB REQUISITION Metro DC Risk & Compliance Analytics Manager LOCATION WASHINGTON DC - MCLEAN ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti ... We Need You Protiviti is looking for aR &C Manager to join our growing Analytics team. Protiviti's Financial...and client requests and commitments . Protiviti is not registered to hire or employ personnel in the following… more
- PNC (Pittsburgh, PA)
- … Audit team specializing in the following business segments; Broker/Dealers, Registered Investment Advisers, and Corporate and Institution, including Capital ... to the company's success. As an Internal Audit Process Manager you will be within PNC's Internal Audit organization,...strong skills in the following: * Audit or regulatory compliance experience in the financial services field preferable in… 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
- Banner Health (Phoenix, AZ)
- …integrated multi-specialty and sub-specialty clinics, and with a new $400 million campus investment , a new patient tower and 2 new clinic buildings will be built. ... and utilizes input from staff and oversees change implementation. Ensures compliance with appropriate regulatory agencies. 3. Facilitates communication of system,… more
- Banner Health (Phoenix, AZ)
- …integrated multi-specialty and sub-specialty clinics, and with a new $400 million campus investment , a new patient tower and 2 new clinic buildings will be built. ... update conference. 2. Collects required clinical data and collaborates with case manager of insurance provider for approval. Interprets and administers current payor… 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
- 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
- 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
- Fort Pitt Capital Group, LLC (Pittsburgh, PA)
- …to invest in yourself? Fort Pitt Capital Group - an award-winning independent Registered Investment Advisor (RIA) with a supportive and collaborative culture - ... is currently seeking an experienced Operations Manager to join our team. Fort Pitt is a...Operational Processes : Familiar with operational procedures in a registered investment advisor firm, covering client onboarding,… more