Our client is a leading Compliance Consulting firm that provides efficient Compliance Advisory and Services to the Financial Institution clients. Job description Responsibilities will be consist of, but not limited to the following: - analyzing clients' trading practices; - inter...
Private Equity and Principal Investments Compliance
Barclays - New York City, NY
to: * Investment Adviser Act 1940 and Investment Company Act 1940 advisory aspects * Dodd-Frank development affecting the alternative investment management..., credit cards, corporate banking, and wealth and investment management. For further information about Barclays, please visit our websitewww...
Private Equity and Principal Investments Compliance
Barclays - New York City, NY
relation to: * Investment Adviser Act 1940 and Investment Company Act 1940 advisory aspects * Dodd-Frank development affecting the alternative..., and are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management. For further information about Barclays...
Investment Advisor - Asset Management - SEC - Marina Sirras & Associates LLC, New York, New York
Lawjobs - New York City, NY
// Job Details Foreign investment bank in New York has an immediate opening for an investment adviser with experience in asset management...
Head of Registered Investment Advisor Compliance- Investment Advisory
Work closely with the management of Park Avenue Securities’ Registered Investment Adviser to ensure ongoing compliance with all applicable... regulations. Support and direct key initiatives and project work designed to maintain and enhance the investment advisory compliance program. Play...
Financial Services and Investment Management Associate
New York City, NY - Boston, MA
. Experience in variable insurance products, private funds, investment adviser, and/or commodities work desirable. TO APPLY - Please mention...
Investment Management - Mid-Level/Senior Associate (NY)
with Form ADV, wrap accounts, adviser registration, adviser marketing rules, negotiation of investment management agreements and the SEC examination... associate with comparable law firm experience to join our Investment Management Practice. The candidate will focus on the Investment Advisers Act...
Fortress Investment Group - New York City, NY
opportunity to join the Tax Department of a leading, publicly-traded, SEC-registered investment adviser (operating in multiple foreign jurisdictions...Tax Counsel Fortress Investment Group LLC is seeking an accomplished Tax Counsel who will report to the Head of Tax. This is a unique...
Fortress Investment Group - New York City, NY
opportunity to join the Tax Department of a leading, publicly-traded, SEC-registered investment adviser (operating in multiple foreign jurisdictions...Tax Counsel Fortress Investment Group LLC is seeking an accomplished Tax Counsel who will report to the Head of Tax. This is a unique...
Investment News - New York City, NY
About INVESTMENT NEWS Adviser Solutions We are a national research and consulting firm that specializes in business consulting to financial... position works directly with the Director of IN Adviser Solutions to support all aspects of the research studies and consulting engagements...
Asset Management Compliance Officer
of a team that is responsible for administering the compliance programs for the firm’s proprietary mutual funds and their investment adviser... or operations experience with an asset management firm • Working knowledge of the Investment Company Act of 1940 and Investment Adviser Act of 1940...
NYC based Registered Investment Adviser in the alternative investment space with $4.5 billion under management seeking a business-oriented... of Investment Advisers Act of 1940 Excellent communication and interpersonal skills Strong desire to work collaboratively within a team Problem solving...
IMPACT Resources - New York City, NY
.com *Our client is one of the world's largest providers of financial services. They offer investment management, retirement planning, brokerage, and human... range of investor products and services to individual mutual fund and brokerage customers- including personal needs-based investment guidance, wealth...
Olympia Capital Markets - New York City, NY
Olympia Capital Markets Group, a wealth management, investment banking and research firm founded in 2003, is one of the most admired..., contact: Mike McNulty (212) 586-7525 mmcnulty@olympiany.com Relevant Word Search: Registered Representative, Advisor, Adviser, Certified Financial...
Dow Jones & Company - New York City, NY
of columnists who report on trends in investment and financial advising. Because the market for this coverage is financial advisers... themselves, familiarity with the industry and with strategies for saving, investing and protecting wealth is important. Experience as an adviser...
Compliance Examiner / Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY
rules and regulations, and company policies. Must have broker-dealer and SEC investment adviser experience. MMC Securities Corp. provides... innovative investment banking and capital solutions as well as providing retirement and executive benefit solutions. MMC Securities Compliance helps...
Robert Half Finance & Accounting U.S. - New York City, NY
& procedures • ERISA monitoring • AML reviews Requirements: • BA or BS required • At least 2-4 years of investment adviser compliance experience...Classification: Compliance Officer Compensation: $70,000.00 to $80,000.00 per year A midtown New York investment manager is seeking...
Vice President, Corporate Counsel
Prudential - New York City, NY
adviser and one of Prudential's US asset management businesses, provides active equity and fixed income investment management services... and regulatory advice to Jennison in its role as an investment adviser to managed accounts for wrap fee programs Job Description This position...
Case Development Associate III
New York Life - New York City, NY
both registered representatives ("RRs") and Eagle Investment Adviser Representatives ("IARs") on products and services within the Lifetime Wealth... and Lifetime Wealth Portfolios Platform. Assist agents in creating customized proposals to help drive life insurance and investment sales. Consult...
Dow Jones & Company - New York City, NY
of wealth management. Stories cover a variety of topics from investment strategies and products to retirement and tax planning to adviser profiles...