- 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
- 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
- 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
- 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
- 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
- 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 (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
- Charles Schwab (Southlake, TX)
- …guidance to Charles Schwab Investment Management, Inc. (CSIM), a registered investment adviser , and Schwab's proprietary mutual funds, ETFs, and separately ... annual compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the... Company Act of 1940 and 206(4)-7 of the Investment Advisers Act of 1940; and/or (e) assisting with… more
- Charles Schwab (Austin, TX)
- …related to Charles Schwab Investment Management, Inc. (CSIM), a registered investment adviser , and Schwab's proprietary mutual funds, ETFs, and separately ... annual compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the... Company Act of 1940 and 206(4)-7 of the Investment Advisers Act of 1940 + Ensure comprehensive and… more
- First Horizon Bank (Knoxville, TN)
- …in job posting **Summary** Portfolio Manager / Business Development Officer at Registered Investment Adviser with $1.5 billion in assets under management. Work ... managers in the development and execution of the Martin & Company investment strategies. **Key Responsibilities Include** + Assist in equity and fixed income… more