- Charles Schwab (San Francisco, CA)
- …of contact for most of Schwab's asset manager relationships on topics such as mutual fund availability, fund adds, fund maintenance and the ... and registered investment advisor (RIA) clients. Within WAS, the Senior Manager , Third-Party Asset Manager ...part of the Investment Offers & Solutions (IOS) group's Mutual Fund and ETF platform relationship management… more
- KeyBank (Brooklyn, OH)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio The Sr Compliance Manager plays a critical role in independently measuring, monitoring, and assessing risks ... providing credible challenge, identifying emerging issues, and escalating concerns to senior management when necessary. Working within the Compliance Risk Management… more
- T. Rowe Price (Owings Mills, MD)
- …with business partners to support the continued expansion of the firm's mutual fund business, including enhancing written compliance procedures and internal ... Preferred: + Knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund and ETF compliance regulations, programs and best practices… more
- Citigroup (Columbus, OH)
- Financial Administration Senior Manager , Vice-President Job Summary The Financial Administration Senior Manager , Vice-President ("VP") oversees the ... financial statement disclosures * Understand the applicable sections of mutual fund Registration Statements (SEC Form N-1A) relating to financial statement… more
- Charles Schwab (Lone Tree, CO)
- …funds (ETFs), and alternative products. The Tax Team is looking for a Senior Manager to support their growing team. This individual is responsible ... the various tax requirements and regulations are satisfied for these products. As a Senior Manager you will be responsible for working with members of the… more
- T. Rowe Price (Owings Mills, MD)
- …matter to you . About this Position We are seeking an adaptable and innovative tax senior manager to join our Investment Tax team. You will join a team committed ... calculations, qualification requirements, shareholder tax reporting and tax compliance for mutual funds and ETFs. You will also apply taxation of financial… more
- Presbyterian Villages of Michigan (Southfield, MI)
- …Presbyterian Villages of Michigan, a faith-based, premier nonprofit organization providing senior living and services in Michigan, has a great opportunity to ... join our leadership team as the ** Senior Vice President of Facilities Advancement.** We invite you...for quality living for the seniors we serve. The Sr VP of FA provides executive leadership for facilities… more
- BMO Financial Group (Scottsdale, AZ)
- …needs and provides solutions though the sales of managed products and services (eg mutual funds, mutual fund wrap accounts, ETF wrap accounts, insurance, ... + Implements a relationship management plan in collaboration with the lead relationship manager . + Determines client needs and provides solutions though the sales of… more
- Janus Henderson Investors (Boston, MA)
- …Institutional and/or intermediary experience preferred + Multiple vehicle (Separate/Segregated Account, Mutual Fund , UCIT, OEIC, SICAV, VIT, ETF, etc.) marketing ... and regulations applicable for your role, seeking the help of your supervising manager or Compliance if additional guidance is required + Understand and abide by… more
- Edward Jones (Tempe, AZ)
- …Securities and Exchange Act of 1933, Securities Exchange Act of 1934, and Mutual Fund Compliance experience preferred. + Strong understanding of the sub-adviser ... Jones & Co, LP ("Edward Jones") is seeking a Fund Investment Guidelines Senior Analyst for our...guidelines and monitoring functions over the Bridge Builder Trust Mutual Funds and Edward Jones Money Market Fund… more