Investment Compliance Jobs

DWS Group - Jacksonville, FL, United States

Your Key Responsibilities: Compliance Officer is responsible for providing advisory Compliance support and oversight to the Liquids Team in DWS, which focus on the investments in fixed income and equity

from: linkedin.com - 10 days ago

Fusion Staffing Partners - New York, NY, United States

Our elite global Alternative Investment Management client is seeking to recruit a Senior Compliance Associate to oversee firmwide marketing and communications compliance. The incumbent will work

from: linkedin.com - 4 days ago

Randstad - st paul, minnesota

different stages and desiring to transition that skill set into a different industry. This is also a great starting point for Quality Assurance, Risk Minded Professionals. This Investment Compliance $21 - $22 per hour

from: randstadusa.com - Yesterday

Coda Search - New York, NY, United States

with regulations and the Code of Ethics Conduct email surveillance Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance

from: linkedin.com - 3 days ago

Mission Staffing - Jacksonville, FL, United States

for the fund. This individual will be responsible for ensuring compliance with the Investment Advisers Act of 1990, overseeing AML/KYC checks, managing the restricted trading and MNPI, and SEC and FINRA

from: linkedin.com - 14 days ago

CyberCoders - Indianapolis, IN

- Own Private Office - Quarterly Trainings - Compliance & Paperwork Support So, if you are a Financial Planner with investment management experience, please apply today! Applicants must be authorized to work 100,000.00 - $130,000.00

from: cybercoders.com - 2 days ago

DWS Group - New York, NY, United States

compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. Maintain current expertise on the regulatory environment

from: linkedin.com - 5 days ago

YMCA of Metropolitan Chicago - Chicago, IL, United States

, and investment advisors. This support ranges from analyzing results for debt compliance to being a contributor for the investment material being presented at various committee meetings. The Senior Accountant

from: linkedin.com (+1 source) - 5 days ago

Indian Creek School - Crownsville, MD

administrators of budget account balances; resolves problems and discrepancies; and makes revisions as necessary, in compliance with established policies and procedures Oversee monthly and quarterly

from: snaprecruit.com (+2 sources) - Yesterday

Phyton Talent Advisors - New York, NY, United States

master attributes for stakeholders across the organization, including Investment Management, Investment Compliance, Client Service, Settlements, and Portfolio Reconciliation. Provide assistance

from: linkedin.com - 5 days ago