Investment Compliance Jobs

TalentLink Solutions - Redwood City, CA, United States

client onboarding requirements with financial planning software Update CRM with client data and work through client process Compliance: Support Compliance to maintain an effective and robust investment

from: linkedin.com - 2 days ago

Atlantic Group - Summit, NJ, United States

$45 Billion Growing Private Equity Firm is Seeking a Head of Investment Compliance/CCO *Reporting to the CCO *Oversee 4-5 Senior Compliance Staff *Investment Advisers Act of 1940 and the Investment

from: linkedin.com - 21 days ago

Claire Myers Consulting - Frisco, TX, United States

and meetings. Client Advocacy: Advocate for clients' interests and proactively address any concerns or questions they may have regarding their financial plans or investment strategies. Compliance and Regulatory

from: linkedin.com - 2 days ago

WMGNA,LLC - Farmington, CT, United States

Monitor client financial plan and advise on changes that are necessary Place trades as directed by supervisor / coordinate with investment management team to ensure execution of investment strategy Adhere

from: linkedin.com - 2 days ago

Tundra Technical Solutions - Boston, MA, United States

rooms, tracking of prospect and client information in Salesforce and requests with members of the investment, legal, compliance and accounting teams. • Support special projects and ad-hoc requests

from: linkedin.com - 2 days ago

Consult Energy USA - New York, NY, United States

Investment: Identify, evaluate, and secure tax equity investments for battery storage projects. Navigate complex tax equity structures and maintain compliance with regulatory requirements. Financial Modeling

from: linkedin.com - 2 days ago

Oakworth Capital Bank - Birmingham, AL, United States

, and onboard new vendors to create operational efficiencies and provide additional investment solutions. Partner with the technology team to implement and support new systems. Work closely with legal

from: linkedin.com - 2 days ago

Scout Recruiting Group - , CA, United States

. Qualifications 10 Years+ of relevant investment advisory / wealth management origination and client management experience Clean compliance and regulatory history, including currently active licenses (i.e., 7, 63

from: linkedin.com - 2 days ago

TalentLink Solutions - , 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

Vaco - Raleigh, NC, United States

and internal stakeholders. Regulatory Compliance: Ensure compliance with regulatory requirements and company policies in all investment activities. Qualifications: Education: Bachelor's degree in finance

from: linkedin.com - 2 days ago