- CalSTRS (Sacramento, CA)
- Job Posting: Investment Officer II, Investment Compliance State Teachers' Retirement System JC-493302 - Investment Officer II, Investment ... to work as an Investment Officer II (IO II) on the Investment Compliance team. CalSTRS Investment Performance & Compliance team is comprised… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 ... Japan FSA, CIMA, BMA, and US CFTC developments. + Provide research on investment compliance related issues. + Provide guidance on permissible investment and… more
- T. Rowe Price (Baltimore, MD)
- …make a difference in ways that matter to you . About this Position Investment Compliance is a dedicated function supporting global asset management processes by ... existing accounts, and programming of all restrictions into the firm's investment compliance monitoring system, Charles River. We are committed to continuous… more
- Citizens (San Francisco, CA)
- …finance, equity research, and sales and trading. Position Overview We are seeking a Compliance Officer to support our Research, Investment Banking Compliance ... processes to identify and manage conflicts of interest between Research, and Investment Banking activities, ensuring compliance with the Global Research… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity… more
- KeyBank (Brooklyn, OH)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **About the Job** The Investment Risk Compliance Manager plays a critical role in independently measuring, ... risk profiles. + Enhance and innovate risk oversight processes to ensure compliance with investment , liquidity, and counterparty risk policies. + Perform… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management ... Compliance to focus on SEC Registered Investment Advisory Programs and Products. Learn more about the career areas and lines of business at wellsfargojobs.com.… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS ... the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies,...Rule 38a-1 compliance program for two registered investment companies, a business development company, and future private… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS ... the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies,...Rule 38a-1 compliance program for two registered investment companies, a business development company, and future private… more
- City National Bank (New York, NY)
- …and/or registered investment adviser. * Experience working within a Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting ... resolution. * Procedure Development: Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations, Legal and Compliance … more