- T. Rowe Price (Baltimore, MD)
- …make a difference in ways that matter to you . About This Position The Sr. Analyst - GIO - Risk and Compliance sits within Service Provider Management supporting ... asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset… more
- TD Bank (Mount Laurel, NJ)
- …(WLA) who support the lending activities of Wealth Banking.** **In this position, the Compliance Analyst will provide guidance, leadership and training to a team ... which is outlined in the general summary below. **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice… more
- Guardian Life (New York, NY)
- …purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst , Park Avenue Securities (PAS), ... Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance ...making presentations in various settings. **Reporting Relationships** As our Compliance Analyst , you will report to the… more
- Guardian Life (Nashville, TN)
- …of a collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a...of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at… more
- UGI Corporation (King Of Prussia, PA)
- Sr SOX Compliance Analyst - Business Process Location: King Of Prussia, PA, US, 19406 Workplace Environment: Onsite Company: UGI Corporation Requisition Number: ... company's common stock is a balanced growth and income investment . UGI Corporation has paid common dividends for more...* Employee Discount Programs Position Summary: The Senior SOX Compliance Analyst - Business Process plays a… 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...clients. **About the Role** We are currently seeking a compliance professional primarily to manage the firm's financial crime-related… more
- 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
- Robert Half (Cincinnati, OH)
- JOB REQUISITION Americas Delivery Center - Financial Crimes Compliance Analyst LOCATION AMERICAS DELIVERY CENTER ADDITIONAL LOCATION(S) JOB DESCRIPTION You ... You Protiviti 's Americas Delivery Center is seeking an Analyst to join our financial crimes compliance ...We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on… more
- Robert Half (Cincinnati, OH)
- JOB REQUISITION Americas Delivery Center - Financial Crimes Compliance Senior Analyst LOCATION AMERICAS DELIVERY CENTER ADDITIONAL LOCATION(S) JOB DESCRIPTION ... The Protiviti Americas Delivery Center is seeking a Senior Analyst to join our financial crimes compliance ...We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on… more
- TD Bank (Mount Laurel, NJ)
- …the Compliance Business Oversight Analyst duties:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and ... on-going initiatives and ad-hoc projects, as needed.** **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and… more