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LATEST JOBS

May 01, 2023  
Chief Compliance Officer Featured
Chief Compliance Officer Carnegie Capital Asset Management dba Carnegie Investment Counsel Job Summary Our firm is an SEC Registered Investment Advisor with locations currently in Ohio, Pennsylvania, Florida, California and New York. We provide customized portfolio management, financial planning and retirement plan services to individuals, families and business owners. As a fiduciary, we always strive to put our clients’ interests ahead of our own and to provide our clients with an extraordinarily high level of service. Our Chief Compliance Officer will lead the continuous enhancement and operation of the firm’s compliance program, ensuring the firm’s adherence to all SEC rules and regulations while assessing and managing other risk areas including market, reputational, operational, and strategic. This position serves as a principal consultant to the firm’s partners by providing necessary advice, training, and risk assessment pertaining to all...
Carnegie Capital Asset Management Full time
Apr 28, 2023  
Compliance Associate Featured
Bow River Capital is a private alternative asset management company based in Denver, Colorado with approximately $2.9 billion in assets under management as of November 30, 2022. Founded in 2003, the firm  was established with a vision of building a world class, diversified investment management platform committed to the lower middle market. Bow River has three private fund platforms: Private Equity, Real Estate, and Software Growth Equity, as well as a registered fund, the Bow River Capital Evergreen Fund, which provides access to private market investments to a broad set of investors. Role Bow River’s Compliance Associate is responsible for administering the firm’s Compliance Program, including with respect to the firm’s private and registered funds. Working closely with – and reporting to – the firm’s General Counsel and Chief Compliance Officer, the Compliance Associate is charged with helping to ensure that the firm’s Compliance Program adheres to federal securities...
Bow River Capital Denver, CO, USA Full time
May 20, 2023  
Trading & Operations Specialist
The Trading & Operations Specialist works within a collaborative team of experienced investment, operations, and client service professionals to support and enhance Clifford Swan’s delivery of investment management services to clients.  As part of the Operations Team, the Trading & Operations Specialist reports to the Operations Manager. This role provides critical support to portfolio managers, with an emphasis on timely and accurate execution of trades, and quality and integrity of portfolio data.  Job Responsibilities Execute, allocate and settle equity, ETF, and mutual fund trades as directed by portfolio managers, in close coordination with multiple executing brokers and custodians Perform reconciliation of trades and positions, resolving all discrepancies in a timely manner Maintain portfolio static data within trading and portfolio accounting system Provide backup coverage for fixed income trading Manually book trades as required, and assist...
Clifford Swan Investment Counselors Pasadena, CA, USA Full time
May 10, 2023  
Account Services/Operations Analyst
POSITION SUMMARY   This is a mid-level opportunity for an experienced investment services professional to join our Account Services/Operations team. The position utilizes SS&C/Advent software products to perform daily and monthly account reconciliation, open new accounts, and perform other back-office or administrative duties as needed.   Essential Duties and Responsibilities include the following: ·         Reconcile cash and positions for all dual-contract accounts on a daily and monthly basis; periodically reconcile market values and dividend accruals ·         Execute new account setup and closing processes in APX with various custodians, account types and client-specific restrictions ·         Communicate account status updates internally and externally, respond to custodian and consultant inquiries/requests, maintain client files ·         Review and verify account contributions/withdrawals with various custodians and send...
Cambiar Investors, LLC Full time
May 01, 2023  
Analyst, Compliance Consulting
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...
Kroll Hybrid (Chicago, IL, USA) Full time
May 01, 2023  
Senior Associate, Compliance Consulting
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...
Kroll Hybrid (Chicago, IL, USA) Full time
May 01, 2023  
Vice President, Compliance Consulting
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...
Kroll Hybrid (Chicago, IL, USA) Full time
May 01, 2023  
Senior Vice President, Compliance Consulting
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...
Kroll Hybrid (Chicago, IL, USA) Full time
May 01, 2023  
Director, Compliance Consulting
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...
Kroll Hybrid (Chicago, IL, USA) Full time
May 01, 2023  
Client Service Representative
The Birmingham office of Leavell Investment Management is seeking a Client Service Representative. The ideal candidate will have previous experience supporting high net worth clients in a client driven support role. This position functions as a partner to the firm’s investment professionals and clients. Responsibilities include preparing new account documents, managing client asset movements, preparing reports and presentations, and participating in client meetings. Ideal candidates will have the following: Investment industry experience Excellent communication skills Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook) Strong attention to detail Our culture is client focused and collaborative. We offer competitive benefits and a family-oriented atmosphere.
Leavell Investment Management, Inc. Full time
May 01, 2023  
AVP, Compliance
Reporting to the Deputy Chief Compliance Officer (Deputy CCO), position is responsible for managing the compliance program for CIM’s registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements. Further information can be found below: https://jobs.lever.co/cimgroup/0b7d65c4-9911-4a72-8d6d-da66c8252ed7
CIM Group USA Full time
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Featured Jobs

Apr 28, 2023  
Compliance Associate Featured
Bow River Capital is a private alternative asset management company based in Denver, Colorado with approximately $2.9 billion in assets under management as of November 30, 2022. Founded in 2003, the firm  was established with a vision of building a world class, diversified investment management platform committed to the lower middle market. Bow River has three private fund platforms: Private Equity, Real Estate, and Software Growth Equity, as well as a registered fund, the Bow River Capital Evergreen Fund, which provides access to private market investments to a broad set of investors. Role Bow River’s Compliance Associate is responsible for administering the firm’s Compliance Program, including with respect to the firm’s private and registered funds. Working closely with – and reporting to – the firm’s General Counsel and Chief Compliance Officer, the Compliance Associate is charged with helping to ensure that the firm’s Compliance Program adheres to federal securities...
Bow River Capital Denver, CO, USA Full time
May 01, 2023  
Chief Compliance Officer Featured
Chief Compliance Officer Carnegie Capital Asset Management dba Carnegie Investment Counsel Job Summary Our firm is an SEC Registered Investment Advisor with locations currently in Ohio, Pennsylvania, Florida, California and New York. We provide customized portfolio management, financial planning and retirement plan services to individuals, families and business owners. As a fiduciary, we always strive to put our clients’ interests ahead of our own and to provide our clients with an extraordinarily high level of service. Our Chief Compliance Officer will lead the continuous enhancement and operation of the firm’s compliance program, ensuring the firm’s adherence to all SEC rules and regulations while assessing and managing other risk areas including market, reputational, operational, and strategic. This position serves as a principal consultant to the firm’s partners by providing necessary advice, training, and risk assessment pertaining to all...
Carnegie Capital Asset Management Full time

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