2 Investment Adviser Compliance Jobs in Philadelphia, PA
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Senior Compliance Officer Xponance, Inc. - Philadelphia, PA, United States in the development and maintenance of the Firm’s compliance program and regulatory compliance requirements. The successful candidate must be knowledgeable about the Investment Advisers Act of 1940 and other 17 days ago
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Chief Compliance Officer, Financial & Retirement Services Gallagher - Philadelphia, Pennsylvania industry. Strong knowledge and understanding of all applicable rules and regulations (e.g., the Investment Advisers Act, ERISA and FINRA Rules) and their application to financial services. Experience 14 days ago
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