Investment Adviser Career Center

Who we are looking for We are seeking an experienced Sr IT Planning & Strategy Professional to drive technology programs that involve cross-organizational and strategic initiatives including Ai, Infrastructure & Cloud, Security and Regulatory and business initiatives in the Investment Management space . The ideal candidate has deep expertise in overseeing multiple interdependent technology projects, aligning them with strategic business goals including a clear understanding of core technology platform concepts including Microservices, AI Gateways, Data & Analytic OLAP Platforms, Transactional databases including Oracle, AWS architecture, API Gateway, networking, security, automation, and platform architecture. This role will drive to success scalable, secure, and cost-efficient cloud solutions, working closely with platform engineering division, DevOps, and security teams to ensure alignment with business and compliance requirements . This position...

This role will be responsible for garnering support from ETF liquidity providers and Authorized Participants to provide market quality and liquidity in State Street Investment Management’s ETFs. This individual will be a point of contact for ETF traders regarding the pricing and trading of our product lineup and will participate in projects with various internal teams and stakeholders to improve the structure and tradability of State Street Investment Management’s ETFs to best compete in the marketplace.  Additionally, this individual will take a supporting role with the data analysis and reporting needs of the Capital Markets team.  Furthermore, this role will support our business development efforts with market makers, broker dealers, and exchanges in seeking broader support for our ETF franchise from a liquidity provision perspective, particularly with top tier firms providing Lead Market Making and Agency AP services to the marketplace.  Key Responsibilities: Manage...

Position Summary:  AIG’s Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s Investments group, along with assisting in the oversight of external managers. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program. Review and capture investment restrictions from investment guidelines, state insurance investment regulations and reinsurance/trust agreements.  Code, test and implement investment restrictions in BlackRock Aladdin and Bloomberg. Review exceptions out of the compliance module and perform manual controls testing. Perform ad-hoc/quarterly controls review specifically for the General Account and...

The Chief Compliance Officer (CCO) is responsible for the design, implementation, and ongoing administration of the firm’s compliance program across both its SEC and CFTC/NFA regulatory obligations. The CCO advises senior management on regulatory matters and fosters a strong culture of compliance throughout the organization. This role reports directly to senior management and has regular interaction with the firm’s principals, operations, trading, and legal functions. Responsibilities include, but are not limited to Own and administer the firm’s compliance program, including annual review and testing under Advisers Act Rule 206(4)-7 and the NFA self-examination questionnaire. Manage all SEC regulatory filings and obligations, including Form ADV, Form PF, Form 13F/13H, Section 16 and 13D/G monitoring, and compliance with the Marketing Rule (206(4)-1). Manage all CFTC/NFA obligations, including CPO-PQR, CTA-PR, disclosure documents, exemption filings, bylaw 1101...