- Charles Schwab (Southlake, TX)
- …support for the Schwab Money Market and Fixed Income Funds and associated trading. The Director , Adviser Compliance Team will be expected to assist the Chief ... building client trust and safeguard the integrity of the Firm. Reporting the Managing Director , Asset Management Compliance , the Director will join an… more
- AON (Chicago, IL)
- …global operations and is a FINRA US registered broker dealer, and SEC Registered Investment Adviser . The primary focus includes development and operation of a ... Aon Securities Compliance and Operations Director - Chicago,...a FINRA US registered broker dealer, and SEC Registered Investment Adviser . The primary focus includes development… more
- TIAA (Frisco, TX)
- … support for the Wealth business including the organization's broker dealer and investment adviser businesses, to ensure organization functions are in ... As a recognized subject matter expert in broker dealer and investment advisory compliance , this job develops and implements new processes, standards or… more
- Vanguard (Malvern, PA)
- …+ Experience in the securities industry, including asset management or broker dealer/ investment adviser Special Factors Sponsorship Vanguard is not offering visa ... compliance program. + Maintains expert knowledge and awareness of the investment industry and compliance developments with implications for Vanguard's… more
- Aegon Asset Management (Denver, CO)
- …Job Description Summary Transamerica Asset Management (TAM) is an SEC registered investment adviser that provides asset management, fund administration and ... and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's...set of strategies. TAM is looking for an experienced Director of Fund Administration. The candidate will have a… more
- JPMorgan Chase (New York, NY)
- …of delivering innovative alternative solutions across market cycles. Our alternative investment engines are managed by highly specialized independent teams, backed ... to individual client needs. We offer strategies across the alternative investment spectrum, including real estate, private equity and credit, infrastructure,… more
- Wellington (Boston, MA)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...with those of our clients. **About the Role** The Director , Enterprise Sourcing is a key leadership role responsible… more
- Greenbacker Capital (Portland, ME)
- …our IM business segment, Greenbacker Capital Management (GCM) serves as the registered investment adviser to five funds focused on green power generation and ... an independent power producer (IPP) and a leading climate-focused investment manager (IM), whose mission is to empower a...the role of AP Manager will report to the Director of Financial Accounting, the selected individual will need… more
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