- Equitable (New York, NY)
- …auditing control design and operating effectiveness for the processes within the Investment and Accounting areas. In addition, this role will perform continuous ... management, and control processes. + Monitor the risk profile within the Investment , Accounting and Treasury areas. + Perform fieldwork activities, including inquiry… more
- Vanguard (Charlotte, NC)
- …and influential individuals and families. By communicating Vanguard's investment philosophy and making recommendations that consider client suitability, ... Wealth Advisors give our clients the best chance for investment success by providing financial planning solutions using our...once in the role. These will be determined by Compliance based on role-specific duties. + 7+ years of… more
- Janus Henderson Investors (New York, NY)
- …regulatory compliance and client mandates. + Design and implement investment strategies for agency and non-agency residential MBS portfolios, aligning with firm ... to hear from you! Your opportunity We are seeking a seasoned investment professional to lead strategy and execution for residential mortgage-backed securities (MBS)… more
- BlackRock (New York, NY)
- **About this role** BlackRock is one of the world's leading providers of investment , advisory, and risk management solutions, including Aladdin, our investment ... BlackRock and delivered to our clients to unify the investment management process across public and private markets. It...with integrated enterprise concerns. + Ensure the security and compliance of the platform. + Troubleshoot and resolve issues… more
- Scotiabank (New York, NY)
- …Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... bridge to this key global market for trade and investment flows across the Americas and the world. Global...a culture of inclusion and diversity * Follow internal compliance practices and act ethically at all times **What… more
- BlackRock (New York, NY)
- …Aladdin was created early in the firm's history to ensure that the investment professionals at BlackRock have the best-in-class data, analytics, and tools to manage ... managers and asset owners. Today, Aladdin is relied on by approximately 55,000 investment professionals around the world. **About the Role** We are seeking a… more
- Neuberger Berman (New York, NY)
- NB Private Wealth is Neuberger Berman's direct-to-client wealth and investment management business. Managing $70b+ in client assets across 40+ seasoned wealth and ... investment teams, with access to a deep breadth of...transactions and inquiries accurately and within established deadlines, ensuring compliance with firm policies and federal regulations. + **Liaison**… more
- Scotiabank (New York, NY)
- …Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... bridge to this key global market for trade and investment flows across the Americas and the world. Global...clients + Coordinate with internal teams including legal, tax, compliance , internal controls + Liaise with outside counsel for… more
- Neuberger Berman (TX)
- …+ Effectively profile clients, developing a deep understanding of their specific investment goals, objectives, and processes. ~60% of the time will be spent ... Liaise with other internal teams (marketing, performance, analytics, operations, legal & compliance ) to ensure client needs are met; effectively build and maintain… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data… more