Investment Adviser Compliance Jobs

Paralel Technologies - Denver, CO, United States

and closed-end fund clients, as well as support the operations of the firm’s registered investment adviser’s compliance program. This position requires excellent communication and organizational skills

from: linkedin.com - 2 days ago

Atlantic Group - , CT, United States

providers, including transfer agents, fund accountants, and auditors, as well as with internal constituents (including in-house legal counsel); and • Assist the firm’s investment adviser compliance team

from: linkedin.com - 2 days ago

BNY Mellon - New York County, New York (+1 location)

. Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred. At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards: Fortune World’s Most

from: resume-library.com (+1 source) - Yesterday

AMS Staffing Inc. - Chicago, IL, United States (+1 location)

companies and investment advisers and with regulatory and compliance matters regarding federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933

from: linkedin.com - 2 days ago

TalentLink Solutions - San Diego, CA, United States

serving retail clientele Bachelor’s Degree in finance, business or accounting, or equivalent experience Experience in a Compliance role within a brokerage firm or Registered Investment Adviser preferred

from: linkedin.com - 2 days ago

First Citizens Bank - Raleigh, North Carolina

Overview: This position sits as part of the Corporate Compliance group that oversees the compliance program for an SEC registered investment adviser. The position requires knowledge of the Investment

from: resume-library.com - 4 days ago

Larson Maddox - Chicago, IL, United States

. Familiarity with the Expert Network industry. Compliance or legal background with an investment adviser or broker-dealer. Strong organizational and research skills. Ability to manage multiple tasks effectively

from: linkedin.com - 2 days ago

Marina Sirras & Associates LLC - Boston, MA, United States (+2 locations)

management experience, including fund and management structuring, side letter negotiations, secondary sales, and Investment Advisers Act registration and compliance experience. Sophisticated document drafting

from: linkedin.com - 4 days ago

Marsh McLennan - Boston, MA, US

advisory services, to a range of institutional clients. What can you expect? You will join the team as Investments Counsel on a team of attorneys supporting our US registered investment adviser, Mercer

from: jobvertise.com - 4 days ago

Vigilant - Chadds Ford, PA, United States

Date: April 24, 2024 Primary Location: 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317 Company: Vigilant Compliance Work Expectation: Remote Client Types: Registered Investment Advisers

from: linkedin.com - 4 days ago