Investment Compliance Specialist

A. Solomon Recruits is seeking a highly skilled Investment Compliance Specialist to join their Global Compliance Team. The successful candidate will be responsible for monitoring client portfolios and performing daily compliance checks in accordance with relevant regulatory and internal policies and procedures.The ideal candidate will have a strong...

About the Role:PineBridge Investments is seeking a highly skilled Investment Compliance Specialist to join our Global Compliance Team. As a key member of the team, you will be responsible for monitoring client portfolios and performing daily compliance checks to ensure adherence to relevant regulatory and internal policies and procedures.Key...

About the Role:PineBridge Investments is seeking a highly skilled Investment Compliance Specialist to join our Global Compliance Team. As a key member of the team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key Responsibilities:Monitor client portfolios and perform daily...

Job Summary:PineBridge Investments is seeking a highly skilled Investment & Trade Compliance professional to join our team. As a Senior Associate/Vice President, you will play a critical role in ensuring the compliance of our asset management business with relevant securities laws and regulations.Key Responsibilities:• Support the Head of Global Investment...

Job SummaryWe are seeking a highly skilled Compliance Specialist to join our CIB Americas Financial Crimes Compliance team. The successful candidate will be responsible for ensuring the firm's compliance with global policy and applicable laws and regulations.Key ResponsibilitiesProvide clear and timely compliance guidance to vetting teams and front office on...

Job Summary:The Compliance department at Societe Generale Corporate and Investment Banking - SGCIB acts as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities across our operations. We report on compliance risks and issues to local, regional, and head office management.We provide the business lines with guidance...

Job DescriptionJob Title: Compliance Officer for Investment BankingDivision: Corporate and Investment BankingLocation: New York CityJob Type: Full-timeAbout the Role:The Compliance department at Societe Generale acts as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities across our operations. We report on...

Job TitleSenior Compliance Analyst, Investment Advisory ComplianceAbout UsJennison Associates is a global investment management firm with over $200 billion in Assets under Management. Our mission is to deliver superior long-term investment returns and excellence in client service.ResponsibilitiesGeneral compliance duties related to execution of the firm's...

About UsWellington Management is a leading investment management firm that offers comprehensive investment solutions to institutional clients worldwide. Our robust research capabilities and collaborative culture enable us to deliver tailored investment strategies that meet the unique needs of our clients.About the RoleThe Compliance Analyst will play a...

Portfolio Trade Compliance SpecialistOur client, a leading investment management firm, is seeking a highly skilled Portfolio Trade Compliance Specialist to join their portfolio and trading compliance team. This role is responsible for monitoring current holdings and daily trading activity, ensuring compliance with regulatory guidelines and requirements.The...

Join Our Team as a Compliance SpecialistAt Goldman Sachs, we're committed to fostering a culture of compliance and integrity. Our Compliance Testing Group is seeking a highly motivated and detail-oriented individual to join our team as a Compliance Specialist.Key Responsibilities:Propose and execute testing plans to assess compliance with regulations and...

Job OverviewSnakorpio Group Inc. is seeking a highly skilled Investment Accounting Specialist to join our team. As a key member of our Investment Accounting and Operations team, you will be responsible for managing the investment accounting for our firm's products and investments.Key responsibilities include:Preparing timely and accurate Net Asset Values and...

Job SummaryThe Investment Trust Specialist plays a critical role in supporting the department and Stifel's Financial Advisors with all matters related to Unit Investment Trusts. This includes marketing, sales, trading, servicing, and operations. The successful candidate will work closely with key members of the Firm, including Compliance, Operations, and...

Job Title: Investment Portfolio SpecialistJob Summary:We are seeking a highly skilled Investment Portfolio Specialist to join our team at Polymer Capital. As an Investment Portfolio Specialist, you will be responsible for generating investment ideas and conducting in-depth industry and company research.Key Responsibilities:Collaborate closely with our...

About This RoleWe are seeking a highly skilled Compliance Specialist to join our Private Wealth Management Compliance team in New York. As a key member of our team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong culture of compliance.Key ResponsibilitiesProvide compliance input in product...

Compliance and Regulatory ExpertiseWe are seeking a highly skilled Compliance and Regulatory Affairs Coordinator to join our team at ConsultNet Technology Services and Solutions. The ideal candidate will have 3-5 years of experience in compliance and regulatory affairs, preferably with broker dealers and registered investment advisors. A strong understanding...

Job DescriptionWedbush Securities is a leading investment bank seeking a highly skilled Compliance Control Room Specialist to oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm's information barriers.This hybrid role can be based in Los Angeles or New York City and requires a...

Job SummaryThe Compliance Risk Specialist will be responsible for monitoring and overseeing the Compliance framework for the Division. This includes ensuring processes are in place for the appropriate oversight, tracking, and reporting of compliance program risks. The ideal candidate will have a strong understanding of regulatory requirements and be able to...

The Investment Accounting Specialist will collaborate with the Manager of Investment Accounting and other accountants to gather investment information, post journal entries, and reconcile data related to the corporation's investment portfolios. This role involves coordinating with third parties, maintaining an up-to-date database of the corporation's...

Compliance Role OverviewThe Compliance Analyst will work closely with senior Compliance and Legal team members on various compliance matters, including reviewing marketing materials for SEC and FINRA compliance, organizing client communications, performing compliance testing, and assisting with regulatory filings.Key ResponsibilitiesReview marketing...