- Guardian Life (New York, NY)
- …wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance testing program ... Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance ...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance ... Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- JPMorgan Chase (New York, NY)
- …in financial investment products and services offered by a broker-dealer and investment adviser (eg investments such as fixed income, equity, listed options, ... to the firm's online investing platform, digital account opening, investment funding, margin and lending. + Identify compliance... investment funding, margin and lending. + Identify compliance and conduct risks inherent within JPMWM + Act… more
- TD Bank (New York, NY)
- …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...who are located outside of the US but provide investment management support to Epoch as part of a… more
- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be ... **About this role** **Business Unit Overview:** Blackrock's Compliance Department protects Blackrock's reputation and provides client...This mission would not be possible without our smartest investment - the one we make in our employees.… 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 (New York, NY)
- …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)
- …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)
- …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
- Foresters Financial Services (Westbury, NY)
- …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