- 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
- Wellington (Boston, MA)
- …teams across the firm, including private investment valuation and operations, investment product and fund services, legal & compliance , tax, and information ... as first line of defense for pre- and post-trade compliance monitoring + Review and resolve discrepancies on reconciliation...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… 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 ... across all audiences. + Collaborate with sales, product, and compliance teams to build campaign frameworks that align with...level of skill or training. More information about each adviser including the investment strategies, fees and… more
- Manulife (Boston, MA)
- …and oversees the implementation of new regulatory requirements that affect the Funds and Adviser . The role also supports the overall compliance programs for the ... The Compliance Director provides compliance support and...compliance practices + Extensive Knowledge of the US investment /securities industry, products and best practices + Successful in… 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...our clients. **About the Role** We are seeking a compliance professional with good foundational compliance testing… 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
- Aflac (GA)
- …& Operations Manager The Company: Aflac Incorporated The Location: GA, US The Division: Global Investment Job Id: 7801 We've Got You Under Our Wing We are the duck. ... communication, collaboration and reporting. Serves as a financial consultant and adviser for Aflac Global Ventures. Supports financial planning and analysis, expense… more
- Wellington (Boston, MA)
- …analyzing client's investment guidelines, and coding them into Sentinel, the investment compliance system, + Interacting real-time with investors to evaluate ... income products, and derivative securities. + Prior Guideline Monitoring, Investment Operations or Investment Compliance ...investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our… more
- JPMorgan Chase (New York, NY)
- …of delivering innovative alternative solutions across market cycles. Our alternative investment engines are managed by highly specialized independent teams, backed ... to individual client needs. We offer strategies across the alternative investment spectrum, including real estate, private equity and credit, infrastructure,… more
- Keurig Dr Pepper (Frisco, TX)
- …join our KDP Tech Finance team. This role acts as a financial adviser to IT leaders and stakeholders delivering actionable insights to drive informed decision-making ... + Provide meaningful analysis on IT portfolio performance, spend drivers, and investment returns + Oversee project cost tracking, ensuring adherence to budgets and… more
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