Compliance Manager

Compliance Manager. The Compliance Manager, US Investment Management Compliance, is accountable for the execution and/or supervision of processes utilized to develop and update the organizations compliance policies and procedures and the programs es Compliance Manager, Manager, Compliance, SEC, Project Management, Business Partner, Business Services

Job Summary: This position is responsible for managing a team of investment compliance professionals in their independent monitoring of investment compliance requirements so as to ensure the firm's ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key...

We are seeking a knowledgeable and entrepreneurial Compliance Manager to contribute towards building out a broad US compliance function for a private equity fund.Highlights:This is a very exciting opportunity for someone seeking broader responsibilities and close interaction with Senior Management and investment teams.The position will be a part of a...

Title: IT Compliance & Risk Management Specialist (Contract) - Job#4937Location: Boston, MA/Hybrid remote Job Description: Our client a leading Financial Institution located in the Boston, MA has an immediate opening for an IT Compliance & Risk Management Specialist to join their team in a hybrid remote capacity. The IT Compliance & Risk Management...

Title: IT Compliance & Risk Management Specialist (Contract) - Job#4937Location: Boston, MA/Hybrid remote Job Description: Our client a leading Financial Institution located in the Boston, MA has an immediate opening for an IT Compliance & Risk Management Specialist to join their team in a hybrid remote capacity. The IT Compliance & Risk Management...

The Specialist will develop, update, and maintain IT compliance documentation based on *** IT compliance standards. The individual will conduct regular reviews and assessments to coordinate *** System (Client) Enterprise Risk Management and Security Assurance for the *** (SAFR) reporting requirements. Responsibilities - Perform IT compliance, risk...

The Specialist will develop, update, and maintain IT compliance documentation based on *** IT compliance standards. The individual will conduct regular reviews and assessments to coordinate *** System (Client) Enterprise Risk Management and Security Assurance for the *** (SAFR) reporting requirements. Responsibilities - Perform IT compliance, risk...

Vaco Boston has partnered with a global investment manager that is seeking a Director of Compliance. Responsibilities:Preparing materials and briefing notes for the chair of the Investment Committee.Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and...

Vaco Boston has partnered with a global investment manager that is seeking a Director of Compliance. Responsibilities:Preparing materials and briefing notes for the chair of the Investment Committee.Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and...

Primary Work Location: Mt. Ida campus, Newton, MA Hybrid work schedule available Job Summary: The Director of Debt Management and Compliance reports directly to the Chief Financial Officer and will be responsible for debt management and compliance needs of the UMass Building Authority. Essential Functions: Assist UMBA's CFO/Treasurer with the following:...

Job no: 522613Position type: Staff Full TimeCampus: UMass President's OfficeCampus Location: Mt. IdaDepartment: UMass Building AuthorityCategories: Business & Financial Services, Accounting/Finance/BudgetAdvertised: Mar 01 2024 Eastern Standard TimeApplications close:Primary Work Location:Mt. Ida campus, Newton, MAHybrid work schedule availableJob...

Job Description Summary For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individuals who seek a collaborative, open-door culture that values diversity and innovative...

Job Description Summary For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individuals who seek a collaborative, open-door culture that values diversity and...

Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals.Our talented teams working around the globe bring expertise that's both broad and unique.Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance...

Responsible for providing the independent monitoring of investment compliance requirements so as to ensure the firms ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business stakeholders on regulatory and client requirements; and support the management...

Your role Are you an expert on the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and motivated individual who enjoys making a positive difference within a collaborative...

Is this your next job Read the full description below to find out, and do not hesitate to make an application. THE ROLE The Compliance Officer manages a team of compliance professionals to ensure that MFS manages client accounts in a manner consistent with applicable legal, regulatory, and client-imposed requirements, and monitors MFS' shareholdings and...

Job Description: The Role Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers...

Our client, a well-known firm, is seeking a Compliance Analyst to join the team. Responsibilities: Assist with continued development and enhancements to the firms governance, risk management and compliance program. Respond to information security as Compliance Analyst, Compliance, Analyst, Security, Technology, Staffing

Everything we do at Sunrun is driven by a determination to transform the way we power our lives. We know that starts at the individual employee level. We strive to foster an environment you can thrive in through our commitment to diversity, inclusion and belonging. As an Compliance Analyst, you play a critical role in supporting Sunrun's mission to connect...