Latest Investment Adviser Compliance jobs in Greenwich, CT

16 Investment Adviser Compliance Jobs in Greenwich, CT

Finance and Operations Manager Cloudbreak Compliance Group, LLC - White Plains, NY, United States About Cloudbreak Compliance Group, LLC Cloudbreak Compliance Group, a leading compliance consulting firm for investment advisers, is seeking to add a full-time Finance and Operations Manager to its 9 days ago
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 25 days ago
SVP, Compliance Officer PIMCO - New York, United States professional to support our investment adviser compliance program, particularly focusing on private fund servicing. This role is pivotal as we expand our capabilities across a diverse range of opportunistic Competitive 3 days ago
Compliance Officer 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 5 days ago
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Compliance Analyst The Goodkind Group, LLC - New York, NY, United States in a compliance function for an SEC-registered investment adviser or exempt reporting adviser • Meaningful work experience in the US asset management industry and securities markets and familiarity with securities 9 days ago
Compliance Officer - Hedge Fund Larson Maddox - New York, United States compliance. Knowledge of SEC regulations and the Investment Advisers Act of 1940. Strong analytical and communication skills. High level of integrity and professionalism. USD100000 - USD190000 per annum 17 days ago
Senior Compliance Officer Cardea Group - New York, NY, United States compliance experience; JD is preferred. Deep expertise and excellent judgement across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities 14 days ago
Vice President, ETF Advisor Compliance BNY Mellon - New York, NY, United States . Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred. At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards: Fortune World’s Most 17 days ago
Compliance, Asset Management Compliance, Vice President Goldman Sachs - New York, United States daily advice to the business units on investing and lending activities, fundraising, the Investment Advisers Act and other regulatory requirements, and reputational risk, while working closely with other Competitive 23 days ago
Associate Attorney - Investment Services- 1965593 AMS Staffing Inc. - New York, NY, United States companies and investment advisers and with regulatory and compliance matters regarding federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933 17 days ago

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