- T. Rowe Price (Baltimore, MD)
- …library and manages projects assigned by the Lead Manager and/or the Investment Compliance management team. Responsibilities + Onboarding new accounts, ... function supporting global asset management processes by ensuring compliance with regulatory, prospectus, client-directed, and internal investment and… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company:...as a manager in Investment Compliance + Good working knowledge of Portfolio Management ... BMA, and US CFTC developments. + Provide research on investment compliance related issues. + Provide guidance...and Japan Insurance Industry Regulations as they pertain to investment management + Understanding of US, Japan… more
- City National Bank (New York, NY)
- …a broker/dealer and/or registered investment adviser. * Experience working within a Compliance Investment Management role. *WHAT'S IN IT FOR YOU?* ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER ...Development: Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations, Legal and Compliance … more
- Raymond James Financial, Inc. (Memphis, TN)
- …continuing education and training programs for the department in conjunction with management . + Schedules and oversees compliance processes including scheduling, ... **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others … more
- CalSTRS (Sacramento, CA)
- Job Posting: Investment Officer II, Investment Compliance State Teachers' Retirement System JC-493302 - Investment Officer II, Investment ... Investment Officer II (IO II) on the Investment Compliance team. CalSTRS Investment ...integrity. Under the general direction of the Associate Portfolio Manager (APM) the IO II is responsible for performing… more
- State of Minnesota (St. Paul, MN)
- …The Minnesota State Board of Investment is responsible for the investment management of various retirement funds, trust funds, and cash accounts ... **Working Title: Senior Manager , Investment Performance and Analytics** **Job...all performance and attribution reports. + Collaborate across teams ( investment , risk, operations, compliance ) and with external… more
- Wellington (Boston, MA)
- **About Us** **Wellington Management ** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. ... our clients. **About the Role** **THE ROLE** The Portfolio Manager -Lead within the Quantitative Investment Group will...Management is one of the world's largest independent investment management firms. We serve as a… more
- Truist (Tampa, FL)
- …non-discretionary investment , portfolios. 8. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. ... America) **Please review the following job description:** The Reserve Investment Manager 2 (IM) is responsible for...is responsible for partnering with Wealth Advisors to deliver Investment Management Services to new High Net… more
- Wells Fargo (Charlotte, NC)
- …Relationship Group (CRG)** Product Management organization within Wealth and Investment Management (WIM) leads the strategy, design and prioritization of ... The team drives close collaboration across all Wealth & Investment Management product vertical to drive a...Client Associates. Wells Fargo is seeking a Lead Product Manager to join our Client Relationship Group to define… more
- TD Bank (New York, NY)
- …The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and ... Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity.… more
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