569 Investment Compliance Jobs - page 2
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Compliance Associate Atlantic Group - Philadelphia, PA, United States ) in the execution of the day-to-day compliance functions relating to the investment advisory businesses. Responsibilities: • Monitor and test the Firm’s policies and procedures to determine the adequacy 3 days ago
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Loan IQ Credit Documentation / Operations Associate - Fund Finance and Investor Services Network ESC A Division of Network Temps, Inc. - New York, NY, United States control and regulatory compliance. You Duties and Responsibilities: Operations Analyst, FFD, ISB Performs business review of credit documentation, regulatory compliance review and booking of new investments 3 days ago
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Managing Director of Compliance or Chief Compliance Officer Stonecrest Partners - Austin, TX, United States a compliance professional with strong experience working in the broker dealer and investment advisor industries to lead our Compliance Department. The role, whether as Managing Director of Compliance or as Chief 3 days ago
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Junior Advisor - Financial Services 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 3 days ago
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Structured CLO Credit Associate Top International Banking Institution - New York, NY, United States and Responsibilities Reviews potential assets in assigned products/industries and prepares CLO credit applications and makes investment recommendations. Ensures compliance with applicable investment guidelines 3 days ago
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Vice President Finance Walnut Ridge - Beachwood, OH, United States management to facilitate decision making. Optimize risk management strategies, including asset protection, insurance, investment oversight, and mitigation of other types of family risks (e.g., cybersecurity 3 days ago
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9099- Compliance Analyst Interactive Resources - iR - Austin, TX, United States iR has partnered with a client of ours who is looking to add a Talented Compliance Analyst to their team. As a Compliance Analyst for Registered Investment Advisers (RIAs), you will be reporting 3 days ago
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senior associate, asset management High Country: Private Equity Search - , CA, United States investment strategies Negotiate and ensure compliance with third-party leases, loans, franchise agreements, management contracts property improvement plans, and other vendor related documents that impact hotel 3 days ago
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Chief Compliance Officer- Broker Dealer Leeds Professional Resources - Miami, FL, United States , practices and documents to identify weaknesses Evaluate business activities (e.g. investments) to assess compliance risk Collaborate with external auditors and HR when needed Set plans to manage a crisis 3 days ago
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Corporate Controller Ascendo Resources - Miami, FL, United States advantage and financial return on investment. The Controller also provides technical competency to ensure compliance with corporate financial policies, legal requirements and GAAP. Essential Functions Plan 3 days ago
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