- GE Vernova (New York, NY)
- …FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute controls ... broker-dealers which are FINRA-member firms. + Experience with and understanding of compliance obligations for investment advisers registered with the Securities… more
- HUB International (New York, NY)
- … Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means ... of operations and advisor staff. + Participate in the investment due diligence process for SEC compliance ...the investment due diligence process for SEC compliance and/or operational reviews as needed **Requirements:** + Must… more
- JPMorgan Chase (New York, NY)
- …products including Custody, Fund Accounting & Administration, Hedge Funds Services, Investment Analytics, Compliance , ETF Services, IMOS, Private Equity Fund ... client business into the Securities Services organization within JP Morgan's Corporate Investment Bank. Your role will involve managing projects that range from… more
- Bloomberg (New York, NY)
- …ideas, manage compliance risk, and collaborate more effectively across the investment lifecycle. **WHAT IS THE ROLE?** The RMS Implementation Specialist plays a ... in buy-side research or order management systems + Strong expertise in investment research workflows, compliance oversight, and data-driven analytics +… more
- TD Bank (New York, NY)
- … Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- BlackRock (New York, NY)
- … cycle, including pre-trade decisioning, order management, trading, investment operations, risk management/ compliance /oversight, closed-book accounting, or ... been at the core of BlackRock. Aladdin(R) is an operating system for investment managers that seek to connect the information, people, and technology needed to… more
- TIAA (New York, NY)
- …preferences, return expectations, and market conditions. + Evaluates the performance of investment portfolios and ensures compliance with standards provided by ... contact for high net worth clients and is responsible for overseeing investment portfolios and delivering personalized advice. This role involves direct portfolio… more
- Citigroup (New York, NY)
- …+ **Identify and initiate cross-business opportunities** with the various coverage teams and investment solutions **.** + Ensure 100% ** compliance on all Citi ... Group (ICG) and offers a wide range of products and solutions, from investment strategies, to banking and lending, to trust and specialized services. CGW delivers… more
- Harbor Group Management (New York, NY)
- …databases. + Collaborate closely with internal teams (transactions, asset management, investment management, finance, legal, compliance ). + Maintain accurate ... Group Management Company is a multi-billion dollar real estate investment and property management firm. As we continue to...(HGI) is a leading global private equity real estate investment manager, with $20 billion in assets under management.… more
- JPMorgan Chase (New York, NY)
- …products such as Custody, Fund Accounting, Fund Admin, Hedge Funds Servicing, Investment Analytics, Compliance , ETFs, IMOS, Private Equity and Real Estate ... spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing… more