- The Cigna Group (Bloomfield, CT)
- …skills (Word, Advanced Excel) **This position supports Cigna Investments, Inc., an investment adviser registered with the United States Securities and Exchange ... **Role Summary** The Senior Investment Accountant primarily supports the investment accounting function for US GAAP and statutory reporting, including ledger… 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 ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Newport Beach, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Newport Beach, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Neuberger Berman (New York, NY)
- …asset management business. The position will primarily support a US registered investment adviser /commodities trading adviser with a broad range ... Neuberger Berman is a leading asset manager seeking an Investment Management Attorney to provide advice and support on a broad variety of legal, regulatory and… 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
- 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 ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- US Bank (Minneapolis, MN)
- …from Day One. **Job Description** Partners with SEC - registered investment adviser business personnel, other Risk/Compliance/Audit (RCA) professionals, and ... Company Act of 1940 Preferred Skills/Experience - Direct experience with SEC-registered investment adviser - Advanced Understanding of registered investment … more
- SMBC (New York, NY)
- …the compliance program and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable ... and/or relevant law with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory management experience. + 5+ years of experience… more
- Trexquant Investment (Stamford, CT)
- …regulatory 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
- Access Dubuque (Dubuque, IA)
- …Investment Services, LLC** **(NMIS)** ( Investment Brokerage Services), a registered investment adviser , broker-dealer, and member of FINRA and SIPC, and ... . Asset & Income Protection . Education Funding . Investment & Advisory Services . Trust Services . Retirement...Northwestern Mutual Wealth Management Company(R) (NMWMC) ( Investment Advisory Services), a federal savings bank. NM and… more
- City National Bank (Jersey City, NJ)
- …* Provide transactional and regulatory counsel to the Bank and its registered investment adviser , broker-dealer, and registered investment fund subsidiaries ... wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and broker-dealers is essential as is the ability to… more
- Foresters Financial Services (Cleveland, OH)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Foresters Financial Services (Beaverton, OR)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- BlackRock (New York, NY)
- …+ ~10 years' experience with regulatory compliance matters of a registered investment adviser (private equity strongly preferred) + Understanding of ... the continued integration of GIP, oversight of key program components (eg, investment allocation, fees and expenses, conflicts) and contributing to the enhancement… more
- First Horizon Bank (Knoxville, TN)
- …in job posting **Summary** Portfolio Manager / Business Development Officer at Registered Investment Adviser with $1.5 billion in assets under management. Work ... managers in the development and execution of the Martin & Company investment strategies. **Key Responsibilities Include** + Assist in equity and fixed income… more
- MyFlorida (West Palm Beach, FL)
- …experience working in risk management, compliance, operations, or the front office of an investment adviser or broker-dealer. + Individuals who hold or have held ... regulatory or compliance work experience relating to securities dealers, investment advisers, financial institutions, financial services companies, insurance companies… more
- Raymond James Financial, Inc. (Coral Gables, FL)
- …Law Examination - Financial Industry Regulatory Authority (FINRA), S65 - Uniform Investment Adviser Law Examination - Financial Industry Regulatory Authority ... and cost basis were successfully received. + Monitors available cash awaiting investment , including running weekly cash and cash equivalent reports and contacting… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard… more
- Greenbacker Capital (Portland, ME)
- …our IM business segment, Greenbacker Capital Management (GCM) serves as the registered investment adviser to five funds focused on green power generation and ... an independent power producer (IPP) and a leading climate-focused investment manager (IM), whose mission is to empower a...the energy transition, including private equity investment in growth-stage clean energy companies, across a wide… more
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