- Thrivent Financial (Minneapolis, MN)
- …compliance oversight for Thrivent's General Account, mutual funds, and other investment accounts. Portfolio Compliance oversight includes ensuring that all ... compliance with associated regulation (eg SEC, IA/IC - Investment Advisor & Investment Company Acts, MN,...monitoring pre-trade and post-trade compliance to ensure compliance with regulations, investment policies and procedures.… more
- Guardian Life (Nashville, TN)
- …Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated… more
- Wells Fargo (Dallas, TX)
- …complex and multifaceted situations requiring understanding of the asset class, investment offerings, policies, procedures and compliance requirements + ... **About this role:** Wells Fargo is seeking a Lead Alternative Investment Consultant (Lead Wealth Investment Consultant) in the Alternative Investments group as… more
- MetLife (Whippany, NJ)
- …and quarterly performance and portfolio reporting to stakeholders in client servicing, investment compliance , risk, and portfolio management. As a member of ... Company Overview: MetLife Investment Management (MIM) offers the chance to be...the organization, including those in portfolio management, relationship management, compliance , legal, and operations. CSG also interacts directly with… more
- Principal Financial Group (Charlotte, NC)
- …consultants routine ad-hoc performance inquires and/or RFP/consultant questionnaires. + Support various investment team's GIPS claim of compliance in line with ... **What You'll Do** **Principal Financial Group has an opportunity for an Investment Performance** **Associate** **to join our Investment Operations team. In this… more
- Raymond James Financial, Inc. (Locust Valley, NY)
- …**Knowledge of** * Company's working structure, policies, mission, strategies and compliance guidelines. * Advanced investment concepts, practices and procedures ... experience, to assist in analyzing portfolio analytics, asset allocation and investment holdings with client portfolios and make appropriate recommendations when… more
- U-Haul (Phoenix, AZ)
- …Support and cross train in all investment functions. + Support the investment department in monitoring portfolio compliance to state and internal guidelines. ... Life Insurance, a division of U-Haul International, is seeking a talented Investment Accountant for the Investments department of Oxford. This position will report… more
- Aflac (New York, NY)
- …to : Director, Head of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, ... New York City, NY, US, 10005 The Division: Global Investment Job Id: 8073 About Our Company Aflac Asset...district and is the organization responsible for the overall investment activities of Aflac, Inc. and subsidiaries in Japan,… more
- Wells Fargo (New York, NY)
- …securitization and syndication. The role is part of the broader Corporate and Investment Banking (CIB) Compliance team and requires deep expertise in ... **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital Markets… more
- JPMorgan Chase (New York, NY)
- …box, challenging the status quo and striving to be best-in-class. As a Compliance Executive Director for Retail Alternatives Investment Funds within the Asset ... Compliance Officer (CCO) where you will lead oversight of regulatory compliance for registered closed-end funds in alternative investment strategies in… more