- Securities and Exchange Commission (Washington, DC)
- Summary The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and ... facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers. IM's Office of the… 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
- City National Bank (Los Angeles, CA)
- …a financial institution such as a broker/dealer and/or registered investment adviser . * For Wealth Management Compliance roles, experience working within a ... * Minimum 5 years of experience in banking operations, compliance and/or risk management activities *Additional Qualifications* * Strong... Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting… more
- 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
- Wellington (Boston, MA)
- …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
- AON (Chicago, IL)
- …US Are you a Compliance Analyst with experience within a SEC-registered investment adviser ? This could be a phenomenal opportunity for you. Aon is ... of experience in a compliance function for a SEC-registered investment adviser , + Proven ability to work independently and collaboratively in a team-oriented… more
- Manulife (Boston, MA)
- … compliance , portfolio accounting or other relevant regulatory or investment company experience **Preferred Qualifications:** + Project Management experience + ... The Compliance Manager is responsible for the execution and/or... with federal securities laws applicable to John Hancock Investment Company products, the John Hancock Group of Funds… more
- Wellington (Boston, MA)
- …with those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- Lincoln Financial (Hartford, CT)
- … policies and procedures and provides other legal support on fund and adviser compliance matters. * Providing legal advice regarding strategic initiatives of ... Funds Management and related business lines/products; and regarding new fund development and compliance . * Advising fund complex and adviser or on new laws,… more
- Wellington (Boston, MA)
- …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