Investment Adviser Compliance Jobs

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Compliance Director, Investment Adviser, VFA  

American International Group - Houston, Texas

Functional Area:CP - Compliance Estimated Travel Percentage (%): Up to 25% Relocation Provided: No American General Life Insurance Company Compliance Director - Investment Adviser, VFA The candidate Investment Adviser Compliance Work careers...

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from: - 15 days ago

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Functietitel Investment Adviser Regulatory Compliance  

NJ, United States

and affiliated securities law firm is seeking to add anInvestment Adviser Regulatory Compliance Counsel. The firm is uniquelypositioned to deliver trusted counsel and innovative solutions to the complexbusiness Investment Adviser Compliance careers...

from: - More than 30 days ago

Sr Compliance Manager - Broker Dealer  

Chicago, IL, United States

Dealer Compliance Program created under FINRA rules and coordinate with the CSIA Investment Advisers Compliance Program. In addition to responsibilities related to the broad CSIA Compliance Program investment adviser compliance program...

from: - 2 days ago

Investment Compliance Analyst  

WADDEL AND REED - Overland Park, Kansas

laws. This individual will be responsible for testing and monitoring the investment adviser compliance program and will assist the investment compliance team in assessing the design and operation investment adviser compliance conference...

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from: - 9 days ago

Senior Compliance Manager-Investment Advisory  

Charles Schwab Corporation - LA, United States (+2 locations)

Officer for CSIA. This position will have responsibilities relating to all aspects of the Investment Advisers Compliance Program built under Rule 206(4)-7. In addition to broad responsibilities related investment advisor compliance officer...

from: (+1 source) - 7 days ago

Chief Compliance Officer  

Snohomish, WA, United States (+1 location)

of Seattle. This position reports to the Managing Partners of the RIA Firm and will have Compliance oversight of the investment adviser activities. Two-office firm with 4 advisers currently managing an $850MM investment compliance officer...

from: - More than 30 days ago

Sr. Managing Counsel- Broker Dealer  

BNY Mellon - Jersey City, New Jersey

investment advisers.' In addition, this individual will provide primary legal support to the Compliance Department and advise on AML matters and issues that are core to Pershing's monitoring responsibilities investment adviser compliance officer...

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from: - 5 days ago

Director: Investment Advisory Compliance  

LA, United States (+1 location)

, maintaining and administering the Compliance Program for CSIA as a registered investment adviser under Rule 206(4)-7. SAMS includes two SEC-registered investment advisory firms which are wholly-owned compliance advisor investment adviser compliance...

from: - 7 days ago

Compliance Associate Director  

San Francisco, CA, United States

weaknesses. The ideal candidate will have previous compliance experience in a high‐touch/high‐client‐experience‐ expectation organization within a registered investment adviser. The Compliance Officer investment adviser compliance analyst...

from: - 6 days ago

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Tax Manager  

Tower Arch Capital - Provo, UT (+2 locations)

in the compliance reporting and filings as TAC is registered with the SEC as an investment adviser. Assist with general TAC corporate compliance procedures and processes. Monthly review of accounting for multiple investment adviser compliance manager...

from: - 3 days ago

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We are pleased that approximately 10% of our users in the Finance sector, are also interested in applying to some of these jobs.

Would you like to know where the most vacancies related to what you want are hidden? The place that leads the ranking is certainly New York, NY, with 28% of offers. You should not overlook Boston, MA, since 17 of the jobs lie in that location. Chicago, IL is in third place, with 12 job ads that may match your search criteria.

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