- US Bank (Minneapolis, MN)
- …Asset Management team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- MyFlorida (Tampa, FL)
- …in risk management, compliance , operations, or the front office of an investment adviser or broker-dealer. + Individuals who hold or have held securities ... NOTES: Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers,… more
- Raymond James Financial, Inc. (Seattle, WA)
- …billion of assets under administration._ _About Raymond James:_ _RJA is an investment adviser and full-service broker-dealer dually registered with the ... Services provide retirement plan administration services, recordkeeping, consulting, actuarial, compliance and participant_ _services. Based_ _in Seattle, Washington, NWPS… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …a subsidiary of Dunham, is an independently owned, registered Broker/Dealer and Investment Adviser helping Financial Advisors and individual investors reach ... of the Company's financial management (financial control and reporting, tax compliance , budgeting, etc.) for five affiliated corporate entities. Participates as a… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... , banks, custodians, and auditors + Assist with regulatory compliance , including filings of regulatory forms (NFA/SEC) + Assist...Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada,… more
- Securities and Exchange Commission (Washington, DC)
- …an office responsible for IT security examinations at SROs, broker-dealers, or investment advisers, conduct assessments of registrant compliance with applicable ... is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers the SEC's… more
- Truist (Austin, TX)
- …and/or administration. 3. Extensive knowledge of the broker/dealer and registered investment adviser industry. 4. Excellent written, verbal and presentation ... other leadership in the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit compliance … more
- Lincoln Financial (Fort Wayne, IN)
- …to internal/external stakeholders on a broad variety of matters related to SEC-registered investment funds and the Annual Update with the SEC of the registration ... Names Rule requirements. * Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and… more
- Securities and Exchange Commission (Washington, DC)
- …an office responsible for IT security examinations at SROs, broker-dealers, or investment advisers, conduct assessments of registrant compliance with applicable ... is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers the SEC's… more
- Securities and Exchange Commission (Washington, DC)
- …You would supervise multidisciplinary offices that conduct reviews to ensure compliance with the applicable disclosure and accounting requirements and collaborate ... and the rules and regulations promulgated under the foregoing statutes; assuring compliance with the requirements of the forms and procedures administered by the… more