Investment Compliance Jobs

TalentLink Solutions - Redwood City, CA, United States

Compliance to maintain an effective and robust investment advisory compliance program Perform other compliance related tasks and projects as assigned Experience and Education: Bachelor’s degree required

from: linkedin.com - 6 days ago

Cardea Group - New York, NY, United States

investment adviser or compliance consulting firm, and private equity exposure preferred Strong understanding of the SEC regulatory framework and SEC cyber and disaster recovery best practices as well

from: linkedin.com - 5 days ago

Ultimate Staffing - Newport Beach, CA, United States

and monthly data uploads Contributing to the personal trading system's development life cycle, including testing system changes and providing business sign-off Managing the quarterly compliance certification

from: linkedin.com - 5 days ago

Catalio Capital Management - New York, NY, United States

, monthly closes, reconciliations, and reports, as well as annual tax and audit Collaborate across internal teams, including the finance, compliance, legal, IR, and investment teams Collaborate externally

from: linkedin.com - 5 days ago

JW Michaels & Co. - Scottsdale, AZ, United States

for future growth. The person will be reporting to the Firm’s Chief Compliance Officer. The compliance associate will work closely with Senior Management, Marketing, Sales, Investments, Operations, and IT

from: linkedin.com - 5 days ago

King & Sykes - Houston, TX, United States

proposition to investors. Due Diligence Support: Assist in the due diligence process for potential investments, including financial analysis, valuation assessments, and risk evaluation. Compliance

from: linkedin.com - 5 days ago

Forum Investment Group - , CO, United States

also documenting and implementing best practices and assisting with the regulatory compliance of all investment vehicles. The employee will contribute to ensuring the efficient and effective operations of all FCA

from: linkedin.com - 6 days ago

Boston Partners Global Investors, Inc. - Boston, MA, United States

considerations: Impact on investment performance Effect on operational risk Influence of compliance and regulatory guidelines Ability to harness technological innovation Efficient vendor management Qualifications

from: linkedin.com - 6 days ago

WMGNA,LLC - Farmington, CT, United States

Monitor client financial plan and advise on changes that are necessary Place trades as directed by supervisor / coordinate with investment management team to ensure execution of investment strategy Adhere

from: linkedin.com - 6 days ago

Anderson Growth Partners - , SC, United States

and Chief Compliance Officer. The position will be responsible for overseeing ongoing fund investment due diligence and analysis for both existing investments and potential new investments. Position

from: linkedin.com - 6 days ago