Investment Advisory Director
2 days ago
A financial services firm, Tandym Group, is seeking an experienced professional to fill the role of Investment Advisory Associate Director.
Key Responsibilities:- Collaborate with client personnel on compliance matters
- Advise clients on compliant business practices and establish a compliance program
- Develop and maintain Compliance Manuals and Code of Ethics Procedures
- Draft Form ADV amendments and assist in regulatory examinations
- Participate in SEC mock exams and create RIA and client relationships through networking
- Perform other duties as needed
- Bachelor's degree in a related field
- 3-5 years of direct RIA experience
- Demonstrated understanding of the Investment Advisors Act of 1940
- Solid analytical and research skills
- Excellent communication, writing, and interpersonal skills
- Strong attention to detail and organizational skills
- Adaptable personality to work with a diverse client base
- Broker-dealer compliance experience
- Experience in various types of RIA business lines
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Investment Advisory Director
3 weeks ago
New York, New York, United States Tandym Group Full timeTandym Group is seeking an experienced professional to fill the role of Investment Advisory Associate Director. This position requires a strong understanding of the Investment Advisors Act of 1940 and the ability to work closely with clients on compliance matters. The ideal candidate will have a bachelor's degree in a related field and 3-5 years of direct...
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Strategic Advisory Director
9 hours ago
New York, New York, United States PJT Partners Full timePJT Partners: A Global Leader in Strategic AdvisoryPJT Partners is a premier global advisory-focused investment bank, renowned for delivering exceptional strategic advisory, shareholder advisory, restructuring, and special situations services to corporations, financial sponsors, institutional investors, and governments worldwide.Key Responsibilities:Conduct...
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Strategic Advisory Director
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New York, New York, United States PJT Partners Full timePJT Partners: A Global Leader in Strategic AdvisoryPJT Partners is a premier global advisory-focused investment bank, renowned for delivering exceptional strategic advisory, shareholder advisory, restructuring, and special situations services to corporations, financial sponsors, institutional investors, and governments worldwide.Our ExpertiseWe offer a...
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Strategic Advisory Director
4 weeks ago
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Investment Banking Managing Director
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Summer Investment Analyst
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New York, New York, United States Portage Point Partners Full timeTransaction Advisory Services Managing DirectorPortage Point Partners is a leading business advisory firm that provides expert transaction advisory services to middle market clients. Our team of seasoned professionals leverages extensive experience in consulting, operations, finance, and investment banking to deliver unparalleled transactional, operational,...
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Director of Private Debt Investments
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Director of Private Debt Investments
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Infrastructure Investment Manager
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Investment Banking Professional
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Investment Banking Director
1 day ago
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Energy Infrastructure Investment Associate
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Investment Banking Director
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Tax Advisory Director
2 days ago
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New York, New York, United States Prospect Rock Partners Full timeAbout the RoleProspect Rock Partners is seeking a highly skilled Investment Banking Restructuring Advisory Associate to join their elite team. As a key member of the restructuring advisory team, you will play a pivotal role in providing strategic advisory and financial solutions to clients facing complex restructuring and distressed situations.Key...
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Managing Director, Investment Banking
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Tax Advisory Director
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Transaction Advisory Services Director
3 weeks ago
New York, New York, United States Selby Jennings Full timeTransaction Advisory Services AssociateThis esteemed client, a leading independent investment bank, seeks a highly skilled Associate to join their Transaction Advisory Services group. This team provides comprehensive diligence to private equity and corporate clients, encompassing financial, tax, data analytics, cybersecurity, and technical accounting...
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Investment Relations Director
21 hours ago
New York, New York, United States Arootah Full timeJoin Arootah as a Director of Investor RelationsArootah is a leading provider of personal and professional development services to the investment and financial services industry. Our mission is to empower and elevate the performance of individuals and companies through coaching and business advisory services, leveraging cutting-edge technology.Key...