Compliance Specialist FLSA Status: Exempt Firm Overview Sierra Investment Management has three Registered Investment Advisers (RIAs):  Sierra Investment Management (retail RIA); Ocean Park Asset Management (model delivery through Financial Advisors (FAs)); and Wright Fund Management (adviser to the Sierra Mutual Funds).  The firm currently has assets under management of about $5.5 billion, more than double the value three years ago. Home office is in Santa Monica, CA with a sales office in Franklin, TN and several remote workers located outside of those two locations. Position Snapshot The Compliance Specialist works independently, as well as collaboratively, as part of the compliance team. This position assists the firm’s Chief Compliance officer with the compliance program in response to the changing needs of the organization, laws, and policies. Reports to the CEO or CCO.   Essential Functions Enforce the Code of Ethics and...

Fiducient Advisors opened its doors on May 1, 1995, striving to provide tailored and personalized investment consulting services. Our clients include retirement plan sponsors, endowments and foundations, private clients and financial institutions. We abide by a fiduciary obligation to put our clients' interests first. This begins by providing advice addressing each client’s unique concerns, obligations and goals. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper. We strive for professional satisfaction by upholding our firm guideposts ensuring we check egos at the door, take accountability and are thoughtfully driven. Functions & Responsibilities: • Lead compliance program in accordance with the Investment Advisers Act of 1940, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance...

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.  Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.  RESPONSIBILITIES: As a Director you will embrace change and take risks. You will work in a...

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.  Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.  RESPONSIBILITIES: As a Senior Vice President you will embrace change and take risks. You...

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.  Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.  RESPONSIBILITIES: As a Vice President you will embrace change and take risks. You will solve...

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.  Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. Our Analysts receive world-class training, outstanding benefits, strong career progression, competitive salaries and relocation assistance when applicable. At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and...

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.  Our Compliance Consulting provides expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers. At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll.  RESPONSIBILITIES: As a Senior Associate you will take risks and solve problems. You will...

We are seeking a Compliance Analyst II with a strong desire to learn and grow with Destination Wealth Management. The Compliance Analyst II primary function is to work directly with the Compliance on developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with the various regulatory authorities. Responsibilities: • Assist with policies and procedures meant to ensure compliance with applicable laws, knowledge of the Investment Advisers Act, SEC rules and regulations. • Reviewing compliance policies, procedures and related documentation as required. • Communicating compliance policies and guidelines to teams and employees. • Assisting Compliance with completion of various compliance tasks including, but not limited to, disclosure documentation updates, policies and procedures reviews, personal securities reviews, advertising...

Within TD Wealth the oversight of controls and the management of regulatory risk exposures for its Global Asset Management operations are managed by the Regulatory & Policy Governance (“RPG”) Group within the TD Wealth business, a 1B group, which has its Head Office in Toronto, Canada. In order to perform this function, RPG assesses regulatory rule changes and industry practices, prepares polices, maintains a regulatory rule inventory and in conjunction with Compliance educates the business on regulations and controls, monitors control effectiveness, and act as Centers of Excellence supporting the business to improve its control environment. This 1B Business Governance Control ("1B") role will support the TD Wealth asset management businesses in the US to achieve sustainable commercial strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealth's policies, risk appetite and local regulatory requirements. This role will...

The Associate General Counsel (Investment Adviser) position provides advice and counsel to Nuveen’s investment management business leaders and colleagues in areas such as investment adviser regulation, distribution of investment products and services, investment transactions/trading, and governance.  This position is a key partner in the growth of Nuveen’s Equities and Fixed Income business, which represents approx. $850 billion in AUM (as of 10/31/22) across a wide variety of asset classes, wrappers, and client types, including institutional and retail separately managed accounts, investment companies, hedge funds and other pooled investment vehicles.  The Associate General Counsel position supports the firm’s institutional SMA business, retail SMA business, and certain alternatives products, providing important advice and leadership on legal issues. The position collaborates with other Law & Policy Department colleagues (in the U.S. and globally) as well as Compliance,...