Investment Adviser Career Center

We're seeking someone to join our team as an Alternative Investments Compliance Officer in Wealth Management Compliance to provide regulatory and compliance advice and guidance to the Wealth Management business groups that are involved in either the design, sale, control, and approval or Alternative Investments, or are focused on client services. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Investment Product Compliance team, which is responsible for guiding business units from product inception through management to ensure regulatory alignment, mitigate risk through efficient controls, and maintain compliance by monitoring and updating policies in response to an evolving regulatory environment. Since 1935, Morgan Stanley is known as a global leader in financial services, always...

Corporate Title: Vice President Department: Legal Location: New York- midtown (Hybrid) The base pay range for this position at commencement of employment is expected to be between $175K and $225K/year* (see below footnote for additional compensation and benefits information).    Company overview Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit  www.nomura.com .   Aon’s Benefit Index ® , Nomura’s benefits rank #1 amongst our...

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast-paced and challenging area? This is a unique opportunity for you to work  supporting ultra-high net worth client base, including interacting with Front Office and drafting of client communications and messaging .   As a Wealth Management Tax Compliance Officer – Vice President within the Client Tax Operations Private Bank team, you will be an important team member and help  ensure global conformity with Internal Service Revenue regulations, as well as bank obligations to state revenue authorities and under various intergovernmental agreements, while providing technical support to teams that support our ultra-high net worth client base.  You will take a leadership role in a team that provides an essential role, supporting the Private Bank at all levels, providing a variety of tax technical support to every aspect of the business, and supporting a variety of clients, all...

We're seeking someone to join our team as an Alternative Investments Compliance Officer in Wealth Management Compliance to provide regulatory and compliance advice and guidance to the Wealth Management business groups that are involved in either the design, sale, control, and approval or Alternative Investments, or are focused on client services. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Investment Product Compliance team, which is responsible for guiding business units from product inception through management to ensure regulatory alignment, mitigate risk through efficient controls, and maintain compliance by monitoring and updating policies in response to an evolving regulatory environment. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving...