• Managing Director and Chief Compliance…

    Manulife (New York, NY)
    …of each RIC's 38a-1 compliance program as well as supporting the associated investment adviser SEC Rule 206(4)-7 related compliance program elements. + Conduct ... including the boards of each RIC, Manulife management, and various investment adviser oversight governance committees. + Work closely with law, compliance,… more
    Manulife (09/09/25)
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  • Managing Director and Chief Compliance…

    Manulife (New York, NY)
    …of each RIC's 38a-1 compliance program as well as supporting the associated investment adviser SEC Rule 206(4)-7 related compliance program elements. + Conduct ... including the boards of each RIC, Manulife management, and various investment adviser oversight governance committees. + Work closely with law, compliance,… more
    Manulife (09/09/25)
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  • Investment Analytics & Trade Monitoring…

    City National Bank (New York, NY)
    …* Experience with a financial institution such as a broker/dealer and/or registered investment adviser . * Experience working within a Compliance Investment ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US*...advisors and their high-net-worth clients to build intelligently personalized investment portfolios. CNR provides investment research, portfolio… more
    City National Bank (09/04/25)
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  • Aon Investments, Compliance Officer

    AON (Chicago, IL)
    …Aon Investments US Are you a Compliance Analyst with experience within a SEC-registered investment adviser ? This could be a phenomenal opportunity for you. Aon ... clients succeed. Aon Investments USA Inc. ("AIUSA") is a registered investment adviser with the Securities and Exchange Commission ("SEC"). Aon's investment… more
    AON (07/30/25)
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  • VP, Market Data Vendor Management

    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 ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
    Aristotle Capital Management (09/07/25)
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  • Compliance Officer - Vice President

    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
    Arena Investors LP (08/12/25)
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  • Financial Planner

    Access Dubuque (Dubuque, IA)
    …Investment Services, LLC** **(NMIS)** ( Investment Brokerage Services), a registered investment adviser , broker-dealer, and member of FINRA and SIPC, and ... . Asset & Income Protection . Education Funding . Investment & Advisory Services . Trust Services . Retirement...Northwestern Mutual Wealth Management Company(R) (NMWMC) ( Investment Advisory Services), a federal savings bank. NM and… more
    Access Dubuque (08/22/25)
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  • Senior Counsel- Legal & Wealth Management

    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
    City National Bank (08/07/25)
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  • Sales Support Associate

    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
    Foresters Financial Services (07/16/25)
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  • Branch Administrator

    Foresters Financial Services (Cleveland, OH)
    …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
    Foresters Financial Services (07/16/25)
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