Investment Adviser Career Center

About the Role: We are seeking a detail-oriented and collaborative compliance professional to join our Corporate Compliance team. In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies, procedures, and regulatory obligations. You will work closely with associates and business partners across the organization to address compliance-related inquiries and support the identification, investigation, and resolution of potential compliance risks. This role requires strong knowledge of FINRA and SEC regulations, exceptional organizational skills, and the ability to balance regulatory requirements with a service-oriented approach. This position can be based in our office in Milwaukee, Chicago, or Louisville. It is a hybrid role, offering flexibility to work 3 days per week in office and 2 days remote. The Impact You’ll Make: Reviews,...

Job Summary The General Counsel & Chief Compliance Officer (GC/CCO) serves as Moneta’s senior-most legal and compliance executive, establishing and leading the firm’s in-house legal function while maintaining direct accountability for enterprise-wide compliance program leadership. Reporting jointly to the Chief Executive Officer and Chief Operating Officer, this role provides authoritative legal counsel on securities law, regulatory matters, contracts, and business risk, and serves as the firm’s Chief Compliance Officer of record before the SEC and applicable state regulators. Equally important, the GC/CCO serves as a visible and trusted resource across the firm’s partnership, building the relationships and communication infrastructure necessary for a thriving compliance culture and sound legal risk management. Essential Responsibilities Legal Counsel & Enterprise Legal Function Serve as the firm’s founding in-house legal counsel and primary legal...

SS&C is a leading provider of mission-critical, AI-powered technology and services empowering financial services and healthcare organizations to work smarter, faster, and securely. Founded in 1986, SS&C is headquartered in Windsor, Connecticut, and has offices worldwide. More than 23,000 financial services and healthcare organizations, from the world's largest companies to small and mid-market firms, rely on SS&C for expertise, scale, and technology. Job Description Senior Implementation Consultant - Investment Management Locations : NY, NY / Boston, MA / Chicago, IL / Jacksonville, FL / San Francisco, CA | Hybrid Get To Know Us: SS&C is looking for a Senior Implementation Consultant to join the Investment Management (IM) Implementations team responsible for front-office components of the Genesis Platform, including Eze OMS and Genesis Portfolio Management. We are looking for an organized individual that can coordinate with a variety of...

Based in Boston, the role of Global Chief Compliance Officer— Manulife Investment Management Private Markets Timberland, Agriculture, and Private Equity Infrastructure has the following three principal responsibilities: Investment Management Compliance . Responsible for the design and execution of a SEC 206(4)-7 compliance program for Manulife Investment Management Timberland and Agriculture Inc (“MIMTA”). MIMTA investments (managed through various subsidiaries in a variety of jurisdictions) consist primarily of approximately 16 billion of U.S. and non-U.S. farmland and timberland, as well as certain related investments, such as carbon sequestration for timberland and “Plus” assets for farmland. “Plus” assets include investments in operating companies that add value to farmland investments. MIMTA’s clients and investors include U.S. and non-U.S. institutional investors, such as pension plans, corporations, insurance companies, foundations, endowments, and family offices,...