Investment Compliance Jobs
Janus Henderson Investors - Denver, CO, United States
Improves Results | Truth Builds Trust If our mission, values, and purpose align with your own, we would love to hear from you! Your opportunity The Global Head of Investments Trading & Compliance Technology
from: linkedin.com - 7 days ago
PRESCOTT PARTNERS, LLC - Sandy Springs, GA, United States
Well-established Atlanta based SEC Registered Investment Advisor y firm founded more than 14 years ago is looking to hire a Sr. Compliance Officer . to join our family and work with a dedicated team
from: linkedin.com - 5 days ago
TRIO Heating & Air - San Jose, CA, United States
investments, and maximizing resource efficiency. Exemplary Financial Governance: Uphold an unassailable standard of financial governance, compliance, and ethical brilliance. Stakeholder Alchemy: Transcend mere
from: linkedin.com - Yesterday
Larson Maddox - , NY, United States
THE TEAM: The Swap Dealer Regulatory Governance team, within Investment Bank Compliance & Operational Risk Controls (IB C&ORC) is a US-based team is responsible for conducting thematic reviews. You’ll
from: linkedin.com (+1 source) - Yesterday
AiLifePay - Palo Alto, CA, United States
partners. A working knowledge of consumer lending, credit risks, data governance, legal and compliances, and financial stability is required. Skills: Experience raising minimum $10M ++ funding Investment
from: linkedin.com - Yesterday
Origin Staffing - Boston, MA, United States
of Operations & Finance and will work closely with Trading, Investment Accounting, Compliance, Valuation & Finance Global foundation – the company has portfolio investments all over the world thus the Investment
from: linkedin.com - Yesterday
Integrity Marketing Group LLC - Dallas, TX, United States
is required including in the areas of compliance, investment products, as well as practices and procedures in the securities industry from a best practices perspective. Primary Responsibilities Serve
from: linkedin.com - Yesterday
GCM Grosvenor - Chicago, IL, United States
(broker-dealer, investment adviser, etc.), regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters. Understanding
from: linkedin.com - Yesterday
Levanti Wealth - , FL, United States
to clients in a clear and understandable manner. Compliance: Ensure compliance with regulatory requirements and company policies in all investment-related activities. Collaboration: Work collaboratively
from: linkedin.com - Yesterday
Coda Search│Staffing - New York, NY, United States
adequate liquidity for operational needs. Investment Management: Work closely with investment teams to support investment decisions, assess funding requirements, and manage investment-related liquidity needs
from: linkedin.com - Yesterday
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