- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations… more
- The Cigna Group (Bloomfield, CT)
- …skills (Word, Advanced Excel) **This position supports Cigna Investments, Inc., an investment adviser registered with the United States Securities and Exchange ... **Role Summary** The Senior Investment Accountant primarily supports the investment accounting function for US GAAP and statutory reporting, including ledger… more
- US Bank (Minneapolis, MN)
- …oversight and due diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also will primarily assist with ... A minimum of six [6] years of compliance experience in investment adviser , mutual fund regulatory compliance. This experience will likely include significant… 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
- 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
- Charles Schwab (Westlake, TX)
- …advice and guidance to Schwab Wealth Advisory, Inc. (SWAI), a Registered Investment Adviser , and Schwab's retail advisory programs; and (b) maintaining ... integrity **Preferred Qualifications:** + Degree from a college/university + Investment Adviser Certified Compliance Professional (IACCP(R)) designation, FINRA… 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
- 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
- SMBC (New York, NY)
- …the compliance program and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable ... and/or relevant law with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory management experience. + 5+ years of experience… more
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