Investment Compliance Jobs

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Compliance Officer/Regulatory Counsel- $12 Billion Stamford Alternative Asset Manager- Investment/Mutual Fund Compliance  

Atlantic Group - Stamford, CT, United States

$12 Billion Stamford Alternative Asset Manager Seeks a Compliance Officer/Regulatory Counsel *Reporting to the CCO *Oversee Investment Company/Mutual Fund Compliance *Manage the Regulatory Compliance

from: - 6 days ago

Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor  

Société Générale - , NY, United States

Reference: 24000E9H Responsibilities: Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale

from: - 15 days ago

Compliance Associate  

ASCENDO - , NY, United States

Compliance Associate - Private Wealth is a rapidly growing Global Private Markets firm who provides customized investment and advisory solutions to some of the most sophisticated investors

from: - 5 days ago

Investment Operations Associate  

LUX Wealth Planning - Washington, DC, United States

handling member cash management accounts · Ensuring compliance requirements are implemented and followed Proposals and Case Prep · Preparing for annual reviews by running investment reports · Preparing

from: - 5 days ago

Compliance Associate  

Atlantic Group - , NY, United States

, you'll be part of a department divided into four teams: Compliance, Private Investments, Tax Planning, and Funds and Trading. Responsibilities: Manage daily, weekly, quarterly, and annual regulatory

from: - 5 days ago

Managing Director, Head of Internal Distribution  

Star Mountain Capital - Tampa, FL, United States

-up one’s sleeve” attitude. Excellent communication skills to effectively explain complex alternative investment concepts to clients and colleagues. Strong knowledge of relevant regulations, compliance

from: - 5 days ago

VP Compliance- $60 Billion Alternative Asset Manager  

Atlantic Group - Maplewood, NJ, United States

Compliance Experience with Strong Regulatory Filing Experience (Form PF, ADV) *Strong Knowledge of Investment Company Act *Background in Compliance Expansion into New Territories & M&A a plus *Strong

from: - 5 days ago

Vice President, CLO Structured Credit Officer  

Network ESC A Division of Network Temps, Inc. - New York, NY, United States

recommendations, etc. Ensures compliance with the investment guidelines. Assists in (1) directing contacts and negotiations with agent banks, arrangers, managers, holders, and brokers for specific assets, to source

from: - 6 days ago

Senior Compliance Officer  

Xponance, Inc. - Philadelphia, PA, United States

to driving innovation and delivering value to our clients and the broader investment landscape. Opportunity – Senior Compliance Officer Xponance is looking for an ethical, teamwork driven compliance

from: - 6 days ago

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Community Investment Manager  

Federal Home Loan Bank of Boston - Boston, MA, United States

for the approval of funding and compliance monitoring of the use of such funds. S/he will work closely with the Housing and Community Investment (HCI) department and Member Services staff, primarily the Bank's

from: - 6 days ago

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