- Equitable (New York, NY)
- …regulatory matters relating to the firm's registration and activities as an investment adviser and commodity pool operator. + Negotiating relevant agreements, ... amazing and diverse culture! _We offer a flexible hybrid office/ remote work environmen_ t, and this position is based...to a wide range of stakeholders, including management, the investment team, compliance , fund administration, marketing, and… more
- T. Rowe Price (Baltimore, MD)
- …the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all ... North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses....this role. Work Flexibility This role is eligible for remote work up to two days a week. Commitment… more
- Principal Financial Group (Des Moines, IA)
- …be providing compliance support for Principal Advised Services', an SEC-registered investment adviser , core regulated activities. This role will primarily be ... kinds of things you'll do when you join our Compliance team: + Assist with oversight of investment...least three office days in a typical workweek), and remote work arrangements. You'll work with your leader to… more
- Guardian Life (New York, NY)
- … compliance framework for PAS as a dually registered broker-dealer and investment adviser . The incumbent will lead the implementation and interpretation of ... requirements. Candidates must have a broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and key regulatory… more
- Principal Financial Group (Des Moines, IA)
- …technology compliance support for Principal Advised Services, an SEC-registered investment adviser , and Principal Connection, a division of Principal Bank ... (R) . Together, you will provide technology compliance support within Retirement Income Solutions. Here are a...least three office days in a typical workweek), and remote work arrangements. You'll work with your leader to… more
- Principal Financial Group (Des Moines, IA)
- …Are** + Bachelor's degree or equivalent + 5+ years of previous broker dealer and investment adviser compliance experience + Active FINRA SIE or equivalent, 7 ... within Principal Asset Management you'll focus on the broker dealer and investment advisers' compliance program for electronic communications, books and records,… more
- Principal Financial Group (Des Moines, IA)
- …support the private funds compliance program with both broker dealer and investment adviser responsibilities. In this role you'll have the chance to work ... **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private Funds. This person will primarily… more
- Manulife (FL)
- …Timberland and Agriculture Inc ("MIMTA")** founded in 1985, is a registered investment adviser and wholly owned subsidiary of John Hancock/Manulife Financial ... in Boston, Massachusetts and is comprised of two core businesses; Manulife Investment Management Timberland (MIM T) which develops and manages timberland investments… more
- Atria Wealth Solutions (San Diego, CA)
- …their clients. Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial ... 92131 + Syracuse, NY: 100 Madison Street, 13202 + Remote - USA for the right candidate The anticipated...+ Utilize your thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics to… more
- AECOM (Virginia Beach, VA)
- …has never been a better time to be at AECOM. With accelerating infrastructure investment worldwide, our services are in great demand. We invite you to bring your ... change management processes. This includes review of baseline schedule submittals for compliance with the overall program and ensuring that major planned outages,… more