Showing 1-10 of 1,887
Showing 1-10 of 1,887
Compliance officer investment jobs

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Compliance Advisers, Inc. - Denver, CO

Compliance - Securities, Investment Adviser:. Advanced knowledge of the Investment Advisers Act of 1940, state investment adviser laws and investment adviser...

Carlson Capital L P - Dallas, TX

Assist Chief Compliance Officer with updates to compliance policies, procedures and training materials of the firm;...

Arizona Bank - Phoenix, AZ

Maintains communications with Investments so as to stay current on investment strategies, securities in portfolios, calls, and procedures....

Regal Financial Group - Kentwood, MI

This position reports to the Chief Compliance Officer and is part of the Compliance Department for Regal Investment Advisors, LLC and Regulus Advisors, LLC....

Lincoln Financial - Philadelphia, PA

Provide compliance support and guidance to the LFN Managed Account business, IA Compliance program and AVP, Advisory Compliance, including facilitating reviews...

State Street - Boston, MA

1-3 years’ experience in the investment management field including experience in investment portfolio compliance or other areas of compliance....

J.W. Cole Financial, Inc. - Tampa, FL

Broker Dealer Compliance:. We are seeking an Advertising Compliance Officer to work out of our Tampa FL office....

T. Rowe Price - Owings Mills, MD

Constructs and issues periodic compliance reports for review and approval by the USIS Risk & Compliance Officer and submission to TRP Group Compliance....

State Board of Administration - Tallahassee, FL

Investment performance measurement calculations, risk statistics or investment performance attribution. The SBA is currently seeking a Quantitative Investment...

Cowen Group - New York, NY

Maintenance of the Compliance Manual, compliance program testing and employee compliance training; Working closely with the Chief Compliance Officer, coordinate...


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