- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be ... **About this role** **Business Unit Overview:** Blackrock's Compliance Department protects Blackrock's reputation and provides client...This mission would not be possible without our smartest investment - the one we make in our employees.… more
- Jackson National Life Insurance Company (Lansing, MI)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... please login to Workday and apply through Jobs Hub._** **Job Purpose** **The Compliance Analyst is responsible for the monitoring of policies and procedures to… more
- Robert Half Legal (Charlotte, NC)
- …Compliance Manager to lead and shape the compliance program for an SEC-registered investment adviser . This is your chance to not only make an impact but ... Description Compliance Manager Opportunity - Career Growth Awaits! ⚖️...- Career Growth Awaits! ⚖️ Are you a passionate compliance professional seeking a career where strategic leadership meets… 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
- 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
- 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
- Wellington (Boston, MA)
- …( _e.g.,_ CFA) is a plus + Minimum 3-5 years of experience with compliance , operational or business controls for an investment advisor + Excellent organizational ... Ethics team, which is part of Wellington Management's Legal, Compliance , and Risk group, which is responsible to administration...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