Investment Adviser Compliance Jobs

J.Sheppard Associates - New York, NY, United States

. The ideal candidate will have some familiarity with counseling top tier investment management firms on investment adviser regulatory matters. Solid compliance experience with compliance policies

from: linkedin.com - Yesterday

New York Life Insurance Company - Melville, NY, United States (+4 locations)

, a Registered Investment Adviser and a New York Life company. Qualification requirements include but are not limited to applicable FINRA general securities, agent state law, investment advisory licenses

from: linkedin.com - 17 days ago

Social Capital Resources LLC - New York County, New York

and other compliance policies and procedures. Conduct reviews and prepare reports on the investment adviser's brokerage practices and best execution. Perform Annual Compliance Review, Risk Assessment Review

from: resume-library.com - Yesterday

Atlantic Group - New York, NY, United States

Compliance Officer to support the compliance program. This role is a great opportunity for a motivated compliance professional to learn more about private funds and investment adviser compliance

from: linkedin.com - 8 days ago

Atlantic Group - Maplewood, NJ, United States

*Conduct Reviews Made Under Investment Company Act/Advisers Act and SEC Exemptive Reliefs *Streamline & Improve Compliance Workflow *Oversee Tools and Technology to Improve Current Compliance Processes

from: linkedin.com - 5 days ago

Vanguard - Charlotte, North Carolina

function. Regulatory, compliance, investment, or auditing experience preferred. Supervisory experience preferred. Working knowledge of the securities industry, along with the Investment Company Act of 1940

from: resume-library.com - 3 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 - 8 days ago

Xponance, Inc. - Philadelphia, PA, United States

in the development and maintenance of the Firm’s compliance program and regulatory compliance requirements. The successful candidate must be knowledgeable about the Investment Advisers Act of 1940 and other

from: linkedin.com - 5 days ago

Principal Financial Group - Des Moines, Iowa

What You'll Do: As a Compliance Advisor within Principal Asset Management you’ll focus on the broker dealer and investment advisers’ compliance program for electronic communications, books

from: resume-library.com - 7 days ago

Partnership Employment - New York, NY, United States

and related regulatory filings and other requirements. Regulation of investment advisers and alternative investment fund managers: Helping the investment management industry meet the challenges that current

from: linkedin.com - 7 days ago