- JPMorgan Chase (New York, NY)
- …+ Independently lead product launches or changes collaborating across the investment management, business channels, trading, legal, compliance , risk, finance, ... Job Description: JPMorgan Asset & Wealth Management delivers industry-leading investment management solutions. Asset Management provides individuals, advisors and… more
- TD Bank (Greenville, SC)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance… more
- Tompkins Community Bank (Ithaca, NY)
- … Oversight-Manage all aspects of treasury operations, including cash management, investment strategies, banking relationships, and ensuring compliance with ... lead a high-performing Treasury team, implement efficient processes, and ensure compliance with regulatory requirements while fostering a culture of continuous… more
- Robert Half Finance & Accounting (Marin County, CA)
- …certification required; Series 65 or equivalent preferred. + Expertise in investment strategies, financial planning, and compliance . + Strong ... for high-net-worth individuals and families, delivering tailored financial and investment strategies. + Manage Financial Plans: Develop and adjust comprehensive… more
- Lincoln Financial (Charlotte, NC)
- …data filings to ensure they are filed timely and accurately. . Assures fund administration compliance with the Investment Company Act of 1940 as well as the ... Acts of 1933 and 1934 . Maintains a working knowledge of strategic investment market activities and industry pronouncements and their impacts on the Funds as… more
- Wellington (Boston, MA)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...futures, forwards, derivatives, and FX + Experience with advanced investment data concepts such as holdings, transactions, security master,… more
- TD Bank (San Francisco, CA)
- …Francisco, California, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing ... this role. **Job Description:** We are seeking a VP Compliance professional to join our TD Securities US Control...lists. + Chaperone interactions and communications between Research and Investment Banking. + Review and approve US and Canadian… more
- Vanguard (Malvern, PA)
- …investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- Publicis Groupe (Birmingham, MI)
- …for their assigned client, the Senior Associate will manage financial reporting and compliance ; ensure that the Investment and Strategy teams are adhering to ... across practice area within the agency, working closely with Strategy, Investment , HR, Finance, Invoice Reconciliation, and Agency Administration & Compliance… more
- Neuberger Berman (Chicago, IL)
- …of publications including white papers, blog posts and podcasts + Liaise with investment , sales, legal, finance, operations and compliance teams globally + ... managing and coordinating all prospect / client-related matters and other non- investment needs. A successful candidate will need to have an entrepreneurial… more