- 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
- 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
- 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
- Charles Schwab (Lone Tree, CO)
- …+ 5 years of experience in a Regulatory Testing/Examiner/Audit role + Investment Adviser and/or Investment Company experience required + ... to join the team, as a Senior Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance ... Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… 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...nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... fairly, and to give them the best chance for investment success. Known for our strong ethical business practices...of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and… more
- TD Bank (Charlotte, NC)
- …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...who are located outside of the US but provide investment management support to Epoch as part of a… 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 ... structure, ensuring alignment with strategic business needs. + Partner with investment teams, technology leadership, compliance , and operations to anticipate… more