- Nebraska Public Power District (Columbus, NE)
- …Manage District's short term and intermediate term investments of cash assets in compliance with investment policy statement, bond covenants and the District ... **Cash Management Investment & Trust Administrator** Columbus, NE, US, 68602-0499...(NPPD)** has an immediate opening for a **Cash Management Investment & Trust Administrator** located at **Columbus General Office**… more
- Principal Financial Group (Des Moines, IA)
- …reports, dashboards, and materials for governance teams + Monitor portfolios daily for compliance with investment guidelines + Learn and apply tools like ... for a motivated **Summer 2026 Intern** to join our ** Investment & Platform Oversight (IPO)** team. This role offers...Oversight (IPO)** team. This role offers meaningful exposure to investment due diligence, portfolio oversight, and the use of… more
- Janus Henderson Investors (Denver, CO)
- …requirements, by: + Annual performance appraisal + Completion of all assigned compliance training Investment areas Has responsibility for supporting portfolios ... love to hear from you! Overview of the role Investment Risk Team works with portfolio management teams, providing...The team provides insightful & value-add services to enhance investment decision making and implementation to the benefit of… more
- City and County of San Francisco (San Francisco, CA)
- …Coordinate with investment managers, service providers, and colleagues to ensure compliance with investment policies and accurate reporting of investments. + ... San Francisco and their survivors. What We Do The Investment Division serves as a resource to the Retirement...resource to the Retirement Board in the development of investment policies and practices. In accordance with the annual… more
- Charles Schwab (Westlake, TX)
- … Investment (Alts) Due Diligence, is chiefly responsible for ensuring investment policy and regulatory compliance of DAFgiving360's Alts (private funds) ... Alts Risk Assessment Reports for Senior Manager review by going through investment offering documents + Review Alts correspondence and quarterly/annual Alts updates… more
- TD Bank (New York, NY)
- …to join our team in New York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... will primarily focus on the management of the firms compliance program supporting all corporate investment banking...the firms compliance program supporting all corporate investment banking Functions including M&A, Debt and Equity Capital… more
- Wellington (Boston, MA)
- …with those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... with other compliance , legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance Analyst's primary… more
- Robert Half Finance & Accounting (Houston, TX)
- … Program), FINRA Rule 3120 (Supervisory Control System), and SEC Rule 206(4)-7 ( Investment Adviser Compliance Programs) is essential. + Licensing: A valid FINRA ... A minimum of 5 years of experience in a compliance role at a securities broker-dealer or investment adviser. COST TO ENTER THE GAME + Bachelor's degree… more
- Guardian Life (New York, NY)
- …and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance and regulatory processes and procedures ... investment adviser entities. + Assist with the Firm's Compliance testing program and the review and maintenance of...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an… more
- City National Bank (New York, NY)
- …* For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to ... * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and… more