- PIMCO (Newport Beach, CA)
- …and Compliance team. This role will focus on enhancing and managing the investment adviser compliance program, with a particular emphasis on ... and regulatory liaison activities. Key Responsibilities Lead and support the global investment adviser compliance program, collaborating closely with … more
- Cetera Financial Group, Inc. (Dallas, TX)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... Job Description The Broker Dealer (BD) Compliance team is responsible for making sure that...wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and… more
- Ares Management Corporation (New York, NY)
- …CIMA regulatory reviews and interpretation of regulations Strong understanding of the investment adviser industry, and US and global securities laws, including ... careers within this exciting and growing industry. Job Description The Ares Compliance Department oversees and manages Ares' global regulatory compliance and… more
- New York Life (Dallas, TX)
- …advisory services offered by Financial Advisors of Eagle Strategies LLC, a Registered Investment Adviser and a New York Life company. Qualification requirements ... are not limited to applicable FINRA general securities, agent state law, investment advisory licenses, compliance history, production standards, and required… more
- Wealthfront (Palo Alto, CA)
- …insured-are provided by Wealthfront Advisers LLC ("Wealthfront Advisers"), an SEC-registered investment adviser . The checking features offered in the Wealthfront ... Legal, FP&A, Product, and external auditors to ensure technical accuracy, compliance , and operational excellence. Technical Accounting Responsibilities Serve as an… more
- Michael Page (New York, NY)
- … Advisers Act and other regulatory matters pertaining to a registered investment adviser /registered funds Experience advising clients on investment ... statements, proxy statements and prospectuses Ensure all marketing, operational and investment matters are in compliance with various regulations pertaining… more
- Jordan Park Group (San Francisco, CA)
- …our privacy practices, including disclosures for California residents, please see our Privacy Notice Jordan Park is an SEC-registered investment adviser (RIA). ... Jordan Park provides investment management and financial advice to a distinct...Uphold the highest standards of fiduciary responsibility and regulatory compliance , always placing clients' interests at the center of… more
- StaffMyAgency LLC (San Antonio, TX)
- …Financial Advisor with our investment advisory affiliate Eagle Strategies LLC, a Registered Investment Adviser . As a New York Life Agent, you will also have ... Must be a Financial Advisor affiliated with Eagle Strategies LLC, A Registered Investment Adviser and a New York Life company. Qualification requirements include… more
- Bitwise Asset Management (San Francisco, CA)
- …reporting funds, 1940 Act reporting funds, CFTC/NFA reporting funds and our registered investment adviser entity, as well as other required regulatory filings. ... New York or San Francisco Legal & Compliance It's not very often that a new...crypto ecosystem. We provide education, partnership, and professionally managed investment products tailored to this group's needs, to help… more
- National Life Group (Montpelier, VT)
- …New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other ... quality control processes Implement quality assurance standards and assure ongoing compliance with quality and industry standards Depending on the area supported,… more
- US Bank (Minneapolis, MN)
- …professional certifications **_Additional Information:_** A minimum of six [6] years of compliance experience in investment adviser , mutual fund regulatory ... diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also...will likely include significant roles and responsibilities in the compliance area of investment management company and/or… 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 ... *HEAD OF CONSUMER LENDING COMPLIANCE * WHAT IS THE OPPORTUNITY? The Head of... Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations… more
- Trexquant Investment (Stamford, CT)
- …oversight converge. Responsibilities + Lead compliance oversight for our SEC-registered investment adviser for private funds. + Maintain and enhance ... with at least 6 years of management-level experience at an SEC-registered investment adviser , regulator, or in-house legal department. + Deep understanding… more
- Lincoln Financial (Fort Wayne, IN)
- … 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
- BlackRock (New York, NY)
- …~10 years' experience with regulatory compliance matters of a registered investment adviser (private equity strongly preferred) + Understanding of ... will interact regularly with various BlackRock functions across the globe including investment , legal, and other compliance and business support functions, while… 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
- Wellington (Boston, MA)
- …teams across the firm, including private investment valuation and operations, investment product and fund services, legal & compliance , tax, and information ... as first line of defense for pre- and post-trade compliance monitoring + Review and resolve discrepancies on reconciliation...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
