- T. Rowe Price (Baltimore, MD)
- …g row and make a difference in ways that matter to you . Role Summary Investment Compliance is a dynamic team within Global Investment Operations. The team ... and asset management. The ideal candidate will lead two functions within Investment Compliance , overseeing the Implementation and Monitoring teams. The… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 ... Japan FSA, CIMA, BMA, and US CFTC developments. + Provide research on investment compliance related issues. + Provide guidance on permissible investment and… more
- T. Rowe Price (Baltimore, MD)
- …make a difference in ways that matter to you . About this Position Investment Compliance is a dedicated function supporting global asset management processes by ... existing accounts, and programming of all restrictions into the firm's investment compliance monitoring system, Charles River. We are committed to continuous… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity… more
- KeyBank (Brooklyn, OH)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **About the Job** The Investment Risk Compliance Manager plays a critical role in independently measuring, ... risk profiles. + Enhance and innovate risk oversight processes to ensure compliance with investment , liquidity, and counterparty risk policies. + Perform… more
- City National Bank (New York, NY)
- …and/or registered investment adviser. * Experience working within a Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* *Compensation*Starting ... resolution. * Procedure Development: Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations, Legal and Compliance … more
- Regions Bank (Hoover, AL)
- …risk management to ensure that systems and processes are in place for investment compliance needs + Leads recruitment, onboarding, and training initiatives to ... investment products, portfolio management, financial planning, and regulatory compliance **Skills and Competencies** + Excellent communication, analytical, and… more
- Deloitte (New York, NY)
- …team, you will: + Maintain and develop strong client relationships on various investment compliance and consulting engagements within the insurance and financial ... be part of a group that sets the standard for investment management tax technology and provides tax compliance and consulting services to a variety of clients in… more
- Raymond James Financial, Inc. (Memphis, TN)
- **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others ... Compliance associates. + May assist with the development and...+ Rules and regulations of: Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment;… more
- City of New York (New York, NY)
- …data feeds, and internal databases. Cross-Functional Collaboration: - Coordinate with investment , operations, compliance , and external service providers to ... of Asset Management is responsible for oversight of the investment portfolios of the five New York City pension...the Bureau of Asset Management is to achieve exceptional investment outcomes for all stakeholders; to deliver outstanding support… more
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