- T. Rowe Price (Baltimore, MD)
- …to g row and make a difference in ways that matter to you . Role Summary Investment Compliance is a global team responsible for ensuring compliance with a ... it relates to Compliance Restrictions coded into the firm's investment compliance monitoring system, Charles River (CRD), and supports client reporting on… more
- TD Bank (New York, NY)
- …**Job Description:** **Preferred Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory ... join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President… more
- Charles Schwab (Lone Tree, CO)
- …apply guidelines to their respective portfolios by ensuring proper oversight and compliance . The Investment Guidelines Oversight Manager is responsible for ... trading activities of portfolio managers and sub-advisors to ensure compliance with agreements and investment guidelines. The...sub-advisors to ensure compliance with agreements and investment guidelines. The ability to code compliance … more
- City National Bank (New York, NY)
- …* For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to ... * COMPLIANCE OFFICER SENIOR- INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and advisory… more
- Vanguard (Malvern, PA)
- …You'll Do- + Design & Enhance Compliance Programs: Develop and refine compliance processes for investment services and support regulatory advice reporting. + ... Join a dynamic compliance team that's not just about rules-but about...and experience. + Series 65 and knowledge of the Investment Advisers Act preferred Special Factors Sponsorship Vanguard is… more
- Deloitte (Detroit, MI)
- …team, you will: + Maintain and develop strong client relationships on various investment compliance and consulting engagements within the insurance and financial ... be part of a group that sets the standard for investment management tax technology and provides tax compliance and consulting services to a variety of clients in… more
- Equitable (New York, NY)
- …Oversee ALM implementation, collaborating with stakeholders to guarantee strategic alignment. + ** Investment Policy & Compliance ** : Create and maintain ... investment guidelines, establish risk limits, and ensure compliance with regulatory frameworks. Monitor policy adherence, aiming for zero violations of … more
- JPMorgan Chase (New York, NY)
- …quantitative concepts, findings, and actionable insights to portfolio managers and other investment professionals. + Compliance : Maintain a consistent focus on ... in over 60 countries. It operates across six business segments including Investment Banking, Commercial Banking, Treasury & Securities Services, Asset & Wealth… more
- Tompkins Community Bank (Plymouth Meeting, PA)
- …& Management of the Investment Program - Oversee the multi-billion-dollar TFA investment portfolio. Ensure compliance with TFA's Investment Policy and ... + Investment Program Management + Administer and manage TFA's multi-billion-dollar investment portfolio. + Ensure compliance with investment policies and… more
- Truist (Atlanta, GA)
- …SunTrust Advisory Services, and relevant regulatory policies and procedures. Work with Investment Managers and compliance to monitor client portfolios relative ... of America) **Please review the following job description:** The Investment Analyst (IA) is responsible for working with ...Investment Analyst (IA) is responsible for working with Investment Managers and the Investment Advisory Group… more
- Truist (Atlanta, GA)
- …9. Assist with special projects for the Investment Managers. 10. Assist Investment Analyst with compliance exception items. 11. Assist with special projects ... Provides in-office client and advisor support interfacing with our affluent Investment clients and Centers of Influence. Provide essential Investment … more
- Wellington (Boston, MA)
- …Risk Group to drive coordinated outcomes Qualifications + 3+ years of relevant investment adviser compliance experience + Familiarity with Investment ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … 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 ... with other compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance Analyst's primary… more
- Manulife (Boston, MA)
- …initiatives, while maintaining robust oversight of local, SEC registered fund and investment adviser compliance policies, procedures, and testing programs. This ... and global initiatives. **Required Qualifications:** + 10+ years of experience in investment operations, compliance , auditing, or regulatory roles within the… more
- Vanguard (Malvern, PA)
- …a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized ... to fiduciary excellence. Ideal candidates will bring deep knowledge of investment advisory compliance , a proactive mindset, and a passion for innovation in the… more
- Beth Israel Lahey Health (Charlestown, MA)
- …will have experience analyzing capital structure, supporting debt issuance and compliance , and managing day-to-day investment activities. This role will ... facilities, bond indentures, and commercial paper programs. + Oversee daily investment operations, including trade processing, cash positioning, compliance … more
- Santander US (Boston, MA)
- …Evaluate third-party product providers and strategic partnerships. **Risk Governance & Compliance :** + Ensure investment strategies comply with applicable ... regulations and firm policies. + Coordinate with legal, compliance , and risk teams to manage investment -related...legal, compliance , and risk teams to manage investment -related risks. + Establish controls and governance over … more
- City and County of San Francisco (San Francisco, CA)
- …Coordinate with investment managers, service providers, and colleagues to ensure compliance with investment policies and accurate reporting of investments. + ... San Francisco and their survivors. What We Do The Investment Division serves as a resource to the Retirement...resource to the Retirement Board in the development of investment policies and practices. In accordance with the annual… more
- Guardian Life (New York, NY)
- …and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance and regulatory processes and procedures ... investment adviser entities. + Assist with the Firm's Compliance testing program and the review and maintenance of...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- Citizens (Westwood, MA)
- …to proactively reduce operational errors, enhance reconciliation, and support regulatory compliance . + Modernizing investment operations to drive scalability and ... that enhances advisor workflows, improves operational efficiency, and supports scalable investment management capabilities. As an Experience Owner II (EO2), you will… more