- 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
- SMBC (New York, NY)
- …and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable regulatory ... compliance in the areas of asset management and investment advisory Experience + 15+ years of experience in...with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory… more
- US Bank (Minneapolis, MN)
- …at-all from Day One. **Job Description** Partners with SEC - registered investment adviser business personnel, other Risk/ Compliance /Audit (RCA) ... Company Act of 1940 Preferred Skills/Experience - Direct experience with SEC-registered investment adviser - Advanced Understanding of registered investment … 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
- 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
- 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
- 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...trading issues + Working closely with the Legal and Compliance Department globally as well as other control functions… 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 ... across all audiences. + Collaborate with sales, product, and compliance teams to build campaign frameworks that align with...level of skill or training. More information about each adviser including the investment strategies, fees and… 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...our clients. **About the Role** We are seeking a compliance professional with good foundational compliance testing… 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
- Aflac (GA)
- …& Operations Manager The Company: Aflac Incorporated The Location: GA, US The Division: Global Investment Job Id: 7801 We've Got You Under Our Wing We are the duck. ... communication, collaboration and reporting. Serves as a financial consultant and adviser for Aflac Global Ventures. Supports financial planning and analysis, expense… more
- Wellington (Boston, MA)
- …analyzing client's investment guidelines, and coding them into Sentinel, the investment compliance system, + Interacting real-time with investors to evaluate ... income products, and derivative securities. + Prior Guideline Monitoring, Investment Operations or Investment Compliance ...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- JPMorgan Chase (New York, NY)
- …of delivering innovative alternative solutions across market cycles. Our alternative investment engines are managed by highly specialized independent teams, backed ... to individual client needs. We offer strategies across the alternative investment spectrum, including real estate, private equity and credit, infrastructure,… 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
- 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
- Wellington (New York, NY)
- …+ Coordinate with key stakeholders globally, including marketing, distribution, investment management, product management and development, marketing compliance , ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more