- Citigroup (Irving, TX)
- …experience. + Strong knowledge of wealth management, broker dealer, investment adviser functions preferred. + Ideal candidate would have experience auditing ... financial advisors and supervisory functions of broker dealer or investment adviser firms. + Perform moderately complex audits including drafting audit reports,… more
- Wellington (New York, NY)
- …monitoring information controls is a plus + Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier ... of 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… more
- City National Bank (New York, NY)
- …7 years of compliance, regulatory compliance with respect to registered investment adviser products and services. * Minimum 5 years of financial services experience ... with a financial institution such as a broker/dealer and/or registered investment adviser . * For Wealth Management Compliance roles, experience working within a… more
- Robert Half Finance & Accounting (Houston, TX)
- …FINRA Rule 3120 (Supervisory Control System), and SEC Rule 206(4)-7 (Investment Adviser Compliance Programs) is essential. + Licensing: A valid FINRA Series 7 ... years of experience in a compliance role at a securities broker-dealer or investment adviser . COST TO ENTER THE GAME + Bachelor's degree in Finance, Economics, or a… more
- Hawaiian Electric (Honolulu, HI)
- …work of Legal Department Legal Assistants. + Participates as a legal adviser on task forces, committees and special projects. Effectively communicate with senior ... work of Legal Department Legal Assistants. + Participates as a legal adviser on task forces, committees and special projects. Effectively communicate with senior… 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 of 1940, as ... not imply a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their… more
- Trexquant Investment (Stamford, CT)
- Trexquant is a growing systematic fund adviser with a core team of highly accomplished technologists. We apply a wide variety of statistical and machine learning ... a security engineering or security operations role, ideally at a quantitative adviser , technology company or systematic trading firm. + Solid understanding of… more
- Wellington (Boston, MA)
- …in assets under management as of 30 June 2024, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative ... of 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… more
- Foresters Financial Services (Westbury, NY)
- …advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a way that is customized ... management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "… more
- Foresters Financial Services (Cleveland, OH)
- …advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a way that is customized ... management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera… more