Investment Adviser Career Center

The Opportunity: The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for Investment Advisor compliance clients, particularly RIAs managing private funds and/or registered products (ETFs and/or mutual funds),and provides those clients with expert advice and guidance related to the design and implementation of their compliance programs. This role can be based out of New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas or Houston.   What you’ll do: Serve as the outsourced chief compliance officer for RIA compliance clients. Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements Provide clear, focused, and practical guidance to clients based on SEC regulations Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best...

Job Description At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service® is more than part of our name, it’s our mission and our purpose. The Compliance Officer serves as a second line of defense oversight leader responsible for providing independent governance, effective challenge, and compliance risk advisory across Wealth Division products, services, and client-facing activities. This role ensures that first line Wealth business units have appropriately identified,...

We see the world differently at Capstone Investment Advisors. You will, too. Capstone Investment Advisors, LLC (“Capstone”) is a global asset manager, dedicated to exploring alpha opportunities in derivatives and complementary strategies that persist across market cycles. With approximately $11.8 billion of AUM (as of November 1, 2025) and 326 employees, Capstone is headquartered in New York with offices in London, Amsterdam, Stamford, Los Angeles, Boston, Tokyo, Milan, Texas, and Maryland. Since 2004, through strategic insight, market-leading expertise, and advanced technology, we have sought to anticipate and harness the complexities of world markets, creating unique opportunities for our clients, team, and industry.  With our sophisticated, global client base, we recognize that our success is deeply connected to real people. For that reason, we take a human approach to everything we do, focusing largely on collaborative performance. Our workflow and process are built...

Drive superior investment results Why join Vanguard’s College to Corporate Internship Program for Investment Management? You will experience buy-side investing with an innovative investment management organization. Your internship will provide an opportunity to collaborate alongside a team of premier investment professionals and influence the outcomes of over fifty million clients. Through hands-on involvement with the global investment ecosystem, and access to the tools and resources you need to succeed, you’ll learn how we help shape the financial future of our clients. In this internship program: Work as part of Vanguard's investment teams including fixed income, equity, quantitative equity, investment strategy, FinTech, portfolio review, and risk management. You will work in a department that draws upon your experience and interest, as well as meets strategic business needs Experience a comprehensive approach to investing that employs a range of strategies across...