- US Bank (Minneapolis, MN)
- …professional certifications **_Additional Information:_** A minimum of six [6] years of compliance experience in investment adviser , mutual fund regulatory ... diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also...will likely include significant roles and responsibilities in the compliance area of investment management company and/or… more
- City National Bank (Los Angeles, CA)
- …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
- 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
- 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
- Lincoln Financial (Fort Wayne, IN)
- … policies and procedures and provides other legal support on fund and adviser compliance matters. * Providing legal advice regarding strategic initiatives of ... Funds Management and related business lines/products; and regarding new fund development and compliance . * Advising fund complex and adviser or on new laws,… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more
- BlackRock (New York, NY)
- …~10 years' experience with regulatory compliance matters of a registered investment adviser (private equity strongly preferred) + Understanding of ... will interact regularly with various BlackRock functions across the globe including investment , legal, and other compliance and business support functions, while… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... fairly, and to give them the best chance for investment success. Known for our strong ethical business practices...of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and… more