• Senior Compliance Analyst, Americas Core…

    Wellington (Boston, MA)
    …The Compliance Senior Analyst will support Wellington Management's Americas compliance program , focusing primarily on the rules and regulations governing ... Americas Core Compliance team within the Legal, Compliance and Risk Group. Responsibilities + Lead...coordinated outcomes Qualifications + 3+ years of relevant investment adviser compliance experience + Familiarity with Investment… more
    Wellington (11/20/25)
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  • Compliance Officer Senior-Investment…

    City National Bank (New York, NY)
    …will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable ... and ensuring effective controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies...* Minimum 7 years of compliance , regulatory compliance with respect to registered investment adviser … more
    City National Bank (12/13/25)
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  • Sr. Manager, Regulatory Advisory Compliance

    T. Rowe Price (Owings Mills, MD)
    …as needed. Provides customized work plans, documentation templates, and detailed compliance risk assessments. Collaboratively develops the strategic direction ... The position will contribute to the success of client compliance reporting and multiple risk and ...program in place. + Manages projects from a compliance perspective that span months and quarters (sometimes years);… more
    T. Rowe Price (10/01/25)
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  • Senior Analyst, Privates Compliance

    Wellington (New York, NY)
    …and drafting of applicable policies and procedures + Support Wellington's private investments compliance program regulatory risk areas including those that ... Analyst will support Wellington Management's Global Private Investments Compliance program , focusing on information controls. As...Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with… more
    Wellington (09/24/25)
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  • Senior Director, Compliance - Transamerica…

    Aegon Asset Management (Denver, CO)
    …* For more information, visit transamerica.com . Job Description Summary Perform strategic compliance risk program design and oversight of investment and ... oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs designed to comply with the Investment Company Act… more
    Aegon Asset Management (11/21/25)
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  • Deputy Compliance Leader - Financial…

    GE Vernova (New York, NY)
    … risk . _Regulatory Compliance Adherence_ : Execute an effective risk -based compliance program across FS' global regulated business activities, ... products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute...Financial Crime Compliance laws, regulations, controls and program requirements across Compliance Risk … more
    GE Vernova (10/10/25)
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  • Compliance Analyst

    City National Bank (New York, NY)
    …processes are in place for the appropriate oversight, tracking and reporting of compliance program risks that includes an internal control structure, new ... change management, risk assessments, issues management, and monitoring and reporting. * Compliance Risk Management Division* This is a great opportunity to… more
    City National Bank (10/18/25)
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  • Senior Compliance Analyst

    Wellington (Boston, MA)
    … Compliance Analyst will support Wellington Management's global investment & trading compliance program , focusing primarily on compliance support to ... markets. The individual will also support elements of the compliance program related to material non-public information,... Analyst will be a member of the Legal, Compliance and Risk Group, report directly to… more
    Wellington (10/30/25)
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  • Chief Compliance Officer, Retirement…

    HUB International (New York, NY)
    … compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program . **Responsibilities:** Compliance + Aid in the ... senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with...the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing… more
    HUB International (11/20/25)
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  • Compliance - Wealth Management Solutions…

    JPMorgan Chase (Tampa, FL)
    …the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead, within the Asset & Wealth Management CCOR, you ... Bring your expertise to JPMorgan Chase & Co's Compliance , Conduct and Operational Risk (CCOR),...will support the marketing compliance program by providing diligent oversight, coverage,… more
    JPMorgan Chase (10/20/25)
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