- BlackRock (New York, NY)
- …which can include security level (bonds, stocks, derivatives) information, portfolio investment performance, investment guideline compliance , clarifications ... to broader, strategic initiatives. + Collaborate with portfolio managers, investment product specialists, compliance officers, consultant relations staff,… more
- GE Vernova (New York, NY)
- …FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute controls ... broker-dealers which are FINRA-member firms. + Experience with and understanding of compliance obligations for investment advisers registered with the Securities… more
- HUB International (New York, NY)
- … Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means ... of operations and advisor staff. + Participate in the investment due diligence process for SEC compliance ...the investment due diligence process for SEC compliance and/or operational reviews as needed **Requirements:** + Must… more
- ICF (Rockville, MD)
- …technology governance practices, policies, and reporting requirements through a monthly IT Investment Compliance report to maintain compliance . + Assisting ... accurately reflects the investment summary and progress of FPLS' information in compliance with CPIC + Informing and recommending updates to OMB's information… more
- Citigroup (Jersey City, NJ)
- …capabilities, including: + Portfolio Accounting + Performance & Attribution Analytics + Investment Compliance (Pre- and Post-Trade) + OTC Derivative Valuation & ... products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As… more
- KeyBank (Brooklyn, OH)
- …business-related field or equivalent experience** **5+ years of progressively responsible compliance , regulatory or investment industry experience** **3+ years ... **Location:** 4900 Tiedeman Road, Brooklyn Ohio **The** **Regulatory Technology Senior Compliance Manager** **is a critical member of the KIS Compliance team,… more
- BlackRock (San Francisco, CA)
- …attribution + Trading Order management (OMS) or electronic trading systems (EMS) + Investment Compliance + Post Trade Operations and Trade Booking workflows + ... **Desired Qualifications** + In-depth technical understanding and knowledge of the investment compliance role in the investment lifecycle + 3+ years… more
- United States Steel (Pittsburgh, PA)
- …trade settlement, reconciliation, manager communication, document management, audit and compliance activities, investment reporting, and special projects. This ... etc). + Coordinate global market openings and documentation. + Track daily compliance with investment manager guidelines. 3. Reconciliation Expertise: + Perform… more
- CBRE (Boston, MA)
- …major decisions and corporate actions, operating partner oversight, client reporting, and compliance with the Indirect Investment Guidelines + Leads the ... Associate, Private Equity Real Estate - CBRE Investment Management Job ID 235259 Posted 03-Sep-2025 Service...line REI Segment Role type Full-time Areas of Interest Investment Management Location(s) Boston - Massachusetts - United States… more
- Commonwealth of Pennsylvania (PA)
- …where you will learn how to examine and audit broker-dealer firms and investment advisers to determine compliance with federal, state, and other regulatory ... Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/5059029) Apply Non-Depository and… more