Latest Investment Adviser Compliance jobs - JobisJob United States Mobile

70 Investment Adviser Compliance Jobs

Financial Services Compliance & Regulatory Attorney Direct Counsel - New York, NY, United States (JD) degree from an accredited law school Minimum of four years of experience in compliance and regulatory matters Membership in a local bar in good standing Strong knowledge of the Investment Advisers 2 days ago
Compliance Officer The Goodkind Group, LLC - New York, NY, United States in the Compliance Manual. Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities transaction reviews, investment restriction reviews; vendor management 2 days ago
Analyst, Compliance Energy Impact Partners - New York County, New York Officer to support the firm’s compliance program. This role is a great opportunity for a motivated compliance professional to learn more about private funds and investment adviser compliance. The individual 3 days ago
Senior AFC & Compliance Officer - Alternatives DWS Group - Chicago, IL, United States required; JD or other advanced degree preferred. Previous relevant legal or compliance experience with knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulations 4 days ago
Forum: Start a Discussion Join
Investment Management Attorney Illapa Search - New York, NY, United States programs, marketing arrangements and limited partner transfers. Advise private fund sponsors on compliance and regulatory issues. Represent registered advisers in connection with ongoing SEC reporting 4 days ago
Manager - Compliance IQ-EQ - Dallas, Texas Job Description Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s 3 days ago
Legal and Compliance Analyst Paralel Technologies - Denver, CO, United States and closed-end fund clients, as well as support the operations of the firm’s registered investment adviser’s compliance program. This position requires excellent communication and organizational skills 7 days ago
VP of Compliance (Public Funds) Atlantic Group - , CT, United States providers, including transfer agents, fund accountants, and auditors, as well as with internal constituents (including in-house legal counsel); and • Assist the firm’s investment adviser compliance team 7 days ago
Compliance Officer I - Investment Advisor (Remote) First Citizens Bank - Raleigh, North Carolina Overview: This position sits as part of the Corporate Compliance group that oversees the compliance program for an SEC registered investment adviser. The position requires knowledge of the Investment 9 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 7 days ago

Top locations