- State of Montana (Helena, MT)
- …the Montana Securities Act. * Seeks additional information from salesperson and investment adviser representatives' firm's Compliance Officer to determine ... the Securities Division, which include the following: * Reviews salesperson, investment adviser representatives, broker-dealer firms, and issuer registrations to… more
- City National Bank (Newark, DE)
- …a financial institution such as a broker/dealer and/or registered investment adviser . * For Wealth Management Compliance roles, experience working within a ... *HEAD OF CONSUMER LENDING COMPLIANCE * WHAT IS THE OPPORTUNITY? The Head of... Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting… 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
- SMBC (New York, NY)
- …and operations for a New York State and SEC-registered investment adviser , ensuring activities are conducted in compliance with applicable regulatory ... compliance in the areas of asset management and investment advisory Experience + 15+ years of experience in...with at least: + 10+ years with a registered investment adviser . + 5+ years of supervisory… 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
- Manulife (Boston, MA)
- …(529 plans), options, corporate debt, and US Governments. JHPFS is a Registered Investment Adviser involved in developing and bringing to market digital advice ... must have extensive knowledge and understanding of broker dealer securities regulation ( investment adviser / investment company a plus) and broker dealer… more
- Trexquant Investment (Stamford, CT)
- …oversight converge. Responsibilities + Lead compliance oversight for our SEC-registered investment adviser for private funds. + Maintain and enhance ... with at least 6 years of management-level experience at an SEC-registered investment adviser , regulator, or in-house legal department. + Deep understanding… 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
- Aegon Asset Management (Denver, CO)
- …fund complex (Funds). The candidate will also serve as the CCO to the investment adviser , Transamerica Asset Management (TAM) and the transfer agent. This ... compliance policies and procedures for the Funds to ensure compliance with Rule 38a-1 under the Investment Company Act of 1940 ("`40 Act"). + Conduct … more
- Charles Schwab (Southlake, TX)
- …guidance to Charles Schwab Investment Management, Inc. (CSIM), a registered investment adviser , and Schwab's proprietary mutual funds, ETFs, and separately ... status quo" and transform the finance industry together. In Compliance , we help our business partners achieve their strategic...compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the… more