Mutual Fund Compliance Officer Jobs

Vaughan Nelson Investment Management - Houston, TX, United States

with firm policies and disclosures. Utilize and assist with maintaining the Charles River Development Compliance System in supporting contractual guidelines and restrictions. Mutual Fund Compliance

from: linkedin.com - 20 days ago

Cetera Financial Group - San Diego, CA, United States (+2 locations)

including Advisory Sales, Growth Officers, Financial Planning, Advanced Planning Due Diligence, Compliance, Supervision, and Operations. Product Solutions Consultant will provide education to advisors through

from: linkedin.com - 6 days ago

In House Jobs | JDHuntr - New York City, NY

Compliance Officer. should have 10+ years experience working for a mutual fund/ investment advisor in a senior compliance capacity and be highly conversant with relevant rules and regulations

from: get.it - 7 days ago

DWS Group - New York, NY, United States

and Compliance Officer will assist the Chief Compliance Officer in developing and administering the policies and procedures of the Sales Coverage business (“Coverage”) in the sale and offer of mutual funds/ETFs

from: linkedin.com - 9 days ago

Utah Retirement Systems - Salt Lake City, Utah

Compliance Officer a record of trade confirmations or monthly transaction summaries, as they become available, of all security transactions (excluding mutual funds), in any account under the employee’s control

from: resume-library.com - 6 days ago

Utah Retirement Systems - Salt Lake City, Utah

to the URS Investment Compliance Officer a record of trade confirmations or monthly transaction summaries, as they become available, of all security transactions (excluding mutual funds), in any account

from: resume-library.com - 9 days ago

Allspring Global Investments - Boston, MA / Menomonee Falls, WI / Charlotte, NC

administering compliance programs for registered investment advisers and investment companies. Reporting into the Chief Compliance Officer of Allspring Funds Management, LLC, the Senior Compliance Analyst

from: milwaukeejobs.com - 17 days ago

Utah Retirement Systems - Salt Lake City, Utah

with the values of URS. ADDITIONAL REQUIREMENTS: As a requirement of this position, the employee will submit to the URS Investment Compliance Officer a record of trade confirmations or monthly transaction summaries

from: resume-library.com - 20 days ago

Resolute Investment Managers - Irving, TX 75039, USA

to monitor compliance with established procedures Review mutual fund disclosure documents for consistency with regulatory requirements Under the direct supervision of the Chief Compliance Officer, provide

from: applicantpro.com - More than 30 days ago