- Aristotle Capital Management (Newport Beach, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- The Cigna Group (Bloomfield, CT)
- …environment with tight deadlines This position supports Cigna Investments, Inc., an investment adviser registered with the United States Securities and Exchange ... Accounting Senior Advisor will be the lead for accounting policy across all investment asset classes and, responsible for accounting production for Real Estate &… more
- Truist (Charlotte, NC)
- …responsible for providing legal and regulatory advice to retail broker-dealer and investment adviser affiliates related to the regulation of securities products ... to all ongoing activities of Truist Bank's affiliated retail broker-dealer, registered investment adviser and insurance agency. 2. Provide counsel to the… more
- State of Montana (Helena, MT)
- …the Securities Division, which include the following: * Reviews salesperson, investment adviser representatives, broker-dealer firms, and issuer registrations to ... the Montana Securities Act. * Seeks additional information from salesperson and investment adviser representatives' firm's Compliance Officer to determine the… more
- Aristotle Capital Management (Los Angeles, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Los Angeles, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Los Angeles, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Aristotle Capital Management (Newport Beach, CA)
- … Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act ... a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part… more
- Neuberger Berman (New York, NY)
- …asset management business. The position will primarily support a US registered investment adviser /commodities trading adviser with a broad range ... Neuberger Berman is a leading asset manager seeking an Investment Management Attorney to provide advice and support on a broad variety of legal, regulatory and… more
- Arena Investors LP (Jacksonville, FL)
- …. Review of compliance policies and procedures; . Administration of firm ( Investment Adviser and Broker-Dealer) annual compliance review (testing and ... . 7 - 10 years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer… more
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