- Insight Global (Los Angeles, CA)
- …regimes, including, but not limited to: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and ... Global is looking for a Compliance/Operations Manager for an investment firm in Los Angelos, CA. As a Compliance...and Procedure Development and Risk Assessments We are a company committed to creating inclusive environments where people can… more
- SMBC (New York, NY)
- …exams). + Fund compliance experience (public and private). + Strong working knowledge of the Investment Company Act of 1940 and registered funds. + Working ... Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the...Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal… more
- JPMorgan Chase (New York, NY)
- …with a law firm or investment management firm. + Expertise in the Investment Company Act of 1940. + Strong leadership, analytical, and problem-solving ... Are you an experienced attorney with a passion for investment management? Join our dynamic team at JPMorgan Asset...a high value on diversity and inclusion at our company . We do not discriminate on the basis of… more
- Manulife (Boston, MA)
- …+ Knowledge and monitoring experience of securities laws and regulations - such as Advisers Act , Investment Company Act , NI 81-102 and UCITS **_When ... The Investment Compliance team is seeking looking for a...The position plays a critical role ensuring that the Company has an appropriate global model in place for… more
- US Bank (Glendora, CA)
- …Regulatory Administration group supports fund clients through preparation of registered investment company regulatory filings, fund governance documents, and ... resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing related...County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance… more
- PNC (Cleveland, OH)
- …employees feel respected, valued and have an opportunity to contribute to the company 's success. As an Investment Manager/Portfolio Research Specialist - Defined ... for data analysis and quality assurance * Knowledge of investment aspects of Employee Retirement Income Security Act... investment aspects of Employee Retirement Income Security Act of 1974 & regulations, helpful * Strong verbal… more
- Neuberger Berman (New York, NY)
- …and asset management business, including the Investment Advisers Act , FINRA rules, Investment Company Act , Securities Act , and ERISA, and serve ... are allocable to a particular employee remains in the Company 's sole discretion unless and until paid and may...in 1939, Neuberger Berman is a private, independent, employee-owned investment manager. From offices in 39 cities worldwide, the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education and experience, to develop and execute comprehensive investment strategies that align with the trust company 's goals, ... Skills, and Abilities** **Knowledge of** + Extensive experience in investment management, particularly within the trust company ...achieve desired outcomes * Make prompt, pragmatic choices and act with the client in mind * Take ownership… more
- PNC (Philadelphia, PA)
- …employees feel respected, valued and have an opportunity to contribute to the company 's success. As a Investment Manager/Portfolio Research Specialist - Fixed ... leading meetings with portfolio managers to discuss portfolio strategy, investment team, philosophy, and investment process and...requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure… more
- PNC (Vero Beach, FL)
- …of our employees feel respected, valued and have an opportunity to contribute to the company 's success. As an Investment Advisor II within the PNC Private Bank ... the manager's discretion. **Job Description** + Supports accounts in accordance with investment objectives that have been developed with the client. Depending on… more