- HUB International (New York, NY)
- …be responsible for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or ... company. This position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be… more
- Raymond James Financial, Inc. (New York, NY)
- …Builds trusted relationships with senior leadership, including executive management of the Private Client Group (PCG), the firm's wealth management unit, and Asset ... . Advanced knowledge of risks and regulations in all aspects of the Private Client and Asset Management . Risk assessment methodologies . Risk governance structure… more
- New York Genome Center (New York, NY)
- The Chief Financial Officer (CFO) is a critical position who serves as the New York Genome Center's financial leader, responsible for the organization's overall ... and facilities. Reporting directly to the Scientific Director and Chief Executive Officer (CEO), the CFO is...the assigned areas of responsibility. Hold responsibility for performing investment , debt, and treasury activities. + Lead a team… more
- Rockefeller University (New York, NY)
- …investment managers through separate accounts or commingled vehicles. Overview Reporting to the Chief Investment Officer (CIO), the Investment ... securities, including US and non-U.S. equity and fixed income securities, hedge funds, private equity, venture capital, private real estate, and credit. The… more
- JPMorgan Chase (New York, NY)
- …and Skills:** + Experience as Chief Compliance Officer of a registered investment company. + Subject matter expertise in private equity or private ... of regulatory compliance for registered closed-end funds in alternative investment strategies in private market investments. You...**Job Responsibilities:** + Serve as Chief Compliance Officer of a registered investment fund focused… more
- Principal Financial Group (New York, NY)
- …champions engineering excellence, agility, and innovation in close partnership with the Chief Information Officer , investment and operations professionals, ... of technology solutions that enable and enhance front, middle, and back-office investment technologies across public and private strategies. As the organization… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...area of coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc.… more
- GE Vernova (New York, NY)
- …CT, and will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential ... strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. +...financial services firms, such as broker-dealers and financial advisers, investment advisers and private equity. + Experience… more
- Aflac (New York, NY)
- …Inc., the Vice President, Data Strategy and Governance Manager is a member of the Chief Operating Officer Team. As a member, the individual will work closely ... Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8073 About Our Company Aflac Asset Management, LLC, (dba Aflac Global… more
- MTA (New York, NY)
- …and alternative funding strategies as well as special projects as determined by the Chief Financial officer from time to time. Responsibilities: + Help guide and ... The Senior Director, Debt Financing reports to the Deputy Chief , Financial Services and is responsible for structuring and...the C suite in representing MTA to the global investment community and is expected to apply financial expertise… more