639 Investment Compliance Jobs - page 3
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Vice President, Chief Compliance Officer of Broker-Dealer and RIA Forge - , CA, United States The Role: We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. This is a critical role overseeing compliance for core parts of Forge’s 3 days ago
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Accounting Manager (Mostly Remote) Robert Half - Houston, TX, United States Perform weekly/monthly cash projections for rolling 15 months, including cash payments for investment hires, M&A and share repurchases. Prepare lender compliance calculations, certifications and related 2 days ago
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Compliance Analyst Harrison Gray Search - Chicago, IL, United States Harrison Gray Search has partnered with a unique investment management firm to find the next member of their Governance, Risk, and Compliance team in Chicago. The Governance, Risk & Compliance 3 days ago
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Vice President Finance Miami, FL, United States & Regulatory Affairs : Stay abreast of financial regulations and ensure the company's compliance with all relevant laws and standards. · Treasury Management : Oversee cash management, liquidity, currency risk 3 days ago
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Director of Finance And Accounting MRF North America - Houston, TX, United States · Monitoring the Cash Flow generation via Trade Working Capital control improvement (focus on stock rotation, credit collection) and asset management control (investments, capex, etc.). · Treasury control 3 days ago
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Compliance Director Juno Search Partners - Glen Mills, PA, United States by supporting the administration of compliance for clients including Registered Investment Advisors, Funds and Broker Dealers. Duties include, but not limited to: Conduct compliance testing and reviews 3 days ago
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Chief Financial Officer (CFO) Glenn Burdette - San Luis Obispo, CA, United States all financial aspects of the Firm, including budgeting, forecasting, and financial reporting Develop and implement financial policies, procedures, and controls to ensure compliance and mitigate risk Monitor cash 3 days ago
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Assistant Portfolio Manager Trainee Cresta Advisors - Laredo, TX, United States conditions, and investment strategies to clients and senior managers. Compliance: Adhere to firm regulations and company policies, ensuring ethical practices and accurate reporting. Technology Utilization: Use 3 days ago
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Chief Financial Officer Finatal - Houston, TX, United States financial models to assess investment opportunities, pricing strategies, and potential acquisitions. Oversee the timely and accurate preparation of financial statements, ensuring compliance with GAAP 3 days ago
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Investment Portfolio Analyst Ascendo Resources - Miami, FL, United States profiles and document portfolio reviews as mandated by compliance guidelines. Work collaboratively with the investment team to formulate and execute strategies that meet client objectives. Support client 3 days ago
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