Investment Adviser Career Center

About this role: Wells Fargo is seeking a Senior Lead Compliance Officer within (CIB)Corporate Investment Banking Markets Compliance Groups.  In this role, you will: Provide oversight and governance of a business group or manage companywide compliance programs Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Develop, oversee, and provide independent credible challenge to standards with subject matter expertise Work with complex business units, rules and regulations on moderate to high risk compliance matters Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management Provide direction to the business on developing corrective action...

The Executive Communications, Planning and Execution Lead will play a pivotal role in supporting Chief Operating Officer (COO) communications, executive readiness, and the planning and execution of key initiatives and special projects within State Street Investment Management.  Responsibilities include developing executive‑level presentations, coordinating operating rhythm, governance, and reporting, supporting client presentations, managing requests from firmwide board and governance forums. This role requires an execution-oriented individual with a strategic mindset and proven Investment Management experience, able to deliver high quality work under tight deadlines, write and coordinate key COO communications and presentations, navigate ambiguity and collaborate effectively with senior leadership and colleagues across the organization. Why this role is important to us The COO Business Operations team you will be joining is a part of State Street Investment Management, the...

Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company.  CIM’s assets are invested in public and private corporate bonds, commercial mortgages, private equity, private credit, real estate equity, public equity and short-term investments.  Join our Alternative Investments team and help source, evaluate, and execute attractive new investment opportunities with third-party fund managers. In this role, you will collaborate with experienced investment professionals, contribute meaningful insights, and develop expertise across private credit, mezzanine debt, private equity secondaries, and equity buyout strategies. If you’re curious, analytical, and eager to learn in a dynamic environment, this is an exciting opportunity to build your career in alternatives. Responsibilities Support sourcing, evaluation and execution of limited partnership fund commitments and direct co-investment opportunities...

Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow.   The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies. There are multiple postings for marketing purposes but only 1 opening. This position is Hybrid to our Newton, MA location. Relocation assistance is available. Responsibilities: Ensure that operating businesses comply with laws, regulations, policies and procedures Develop, own and manage department vision, priorities and agenda Serve as CCO of broker-dealer, registered investment advisers, transfer agent and State-Chartered Trust Companies Advise senior management and business units...