- 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
- Truist (Charlotte, NC)
- …responsible for providing legal and regulatory advice to retail broker-dealer and investment adviser affiliates related to the regulation of securities products ... to all ongoing activities of Truist Bank's affiliated retail broker-dealer, registered investment adviser and insurance agency. 2. Provide counsel to the… more
- State of Montana (Helena, MT)
- …the Securities Division, which include the following: * Reviews salesperson, investment adviser representatives, broker-dealer firms, and issuer registrations to ... the Montana Securities Act. * Seeks additional information from salesperson and investment adviser representatives' firm's Compliance Officer to determine the… 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
- 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 (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 (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
- 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 (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
- Janus Henderson Investors (Denver, CO)
- …Australia, including regulatory filings and issues, with the US serving as an investment adviser + Provide legal advice relating to Janus Henderson's obligations ... you! Your opportunity + Provide advice, review, and negotiate investment management and advisory agreements, including side letters with...as a registered commodity trading adviser and commodity pool operator, including issues relating to… 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
- Janus Henderson Investors (Denver, CO)
- …the global legal and regulatory obligations of the Firm as a registered investment adviser in various global jurisdictions, registered broker-dealer, and ... adviser to registered investment companies, hedge funds, private funds, institutional accounts, commingled pools and similar accounts. + Manage the asset… more
- Manulife (Boston, MA)
- …(529 plans), options, corporate debt, and US Governments. JHPFS is a Registered Investment Adviser involved in developing and bringing to market digital advice ... must have extensive knowledge and understanding of broker dealer securities regulation ( investment adviser / investment company a plus) and broker dealer… 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
- City National Bank (Los Angeles, CA)
- …* 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 (Dublin, 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 (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
- Aegon Asset Management (Denver, CO)
- …Job Description Summary Transamerica Asset Management (TAM) is an SEC registered investment adviser that provides asset management, fund administration and ... of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.… 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
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