Chief Compliance Officer

DOWLING CORPORATION

Farmington, CT, USA

Feb 10, 2026

Description Dowling & Partners, LLC is a boutique equity research firm and full-service broker-dealer that focuses exclusively on the insurance industry. We provide our institutional clients with equity research, equity sales, trading, and capital market services. The company is located in Farmington, CT. Our team comprises of seasoned professionals with extensive industry expertise and a keen focus on providing value-added insight and service to our clients. With emphasis on long-term value creation and fundamental analysis, we are proud to have earned a reputation as the preeminent provider of insurance research. We have consistently been recognized as the top-rated insurance research provider and industry source. Why should you join our Dowling team? Because this is where talent meets opportunity! Company Benefits and Perks : Medical, Dental, and Vision Insurance (Premium cost sharing between the company and employee) Health Savings Contribution by...

Featured

Compliance Professional for Fee-Only, SEC RIA Firm

Featured

CGN Advisors, LLC

Hybrid (Manhattan, KS, USA)

Jan 08, 2026

Overview CGN Advisors is an independent, Fee-Only financial planning and investment management firm (SEC RIA) headquartered in Manhattan, KS, with offices located around the country. Depending on experience and qualifications, we are looking for a Compliance Associate or a Compliance Manager for our Operations division. Roles and Responsibilities Manage all aspects and execute the day-to-day tasks of the firm’s compliance program Monitor and test the firm’s policies and procedures to ensure effectiveness of the compliance program Educate the firm’s IARs on regulatory compliance matters Serve as in-house compliance expert, responding to compliance-related questions from IARs Assist with the new IAR onboarding process Remain current with regulatory changes, annual examination priorities, etc. Interact with regulators, examiners, attorneys, etc. as needed Administer the firm’s enterprise systems Qualifications and Education Requirements Bachelor’s degree...

LF

AVP, Product Owner - Advisory Investment Management

LPL Financial

Fort Mill, SC, USA

Feb 10, 2026

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: LPL Financial is seeking a n AVP, Product Owner within LPL's Product Management , one of the most visible departments in our organization. As a trusted business partner you will drive outcomes, lead cross-functional teams, drive strategy and contribute to the deep and thoughtful analysis that enables our leadership team to make informed decision in our Advisory Investment Management platforms, focusing on advisor experience, operational efficiency, model management, money manager integration, trading platforms, and related technology...

TD

Senior Compliance Officer, Global Control Room

TD

New York, NY, USA

Feb 10, 2026

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: TD Securities is seeking an experienced Senior Compliance Officer to join...

TD

Compliance Officer, Global Control Room

TD

New York, NY, USA

Feb 10, 2026

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $75,000 - $95,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: TD Securities is seeking an experienced Compliance Officer to join our...

ETF Internal Sales Associate, Senior Associate - State Street Investment Management

State Street

Scottsdale, AZ, USA

Feb 10, 2026

Are you interested in being in one of the fastest growing segments of the financial services industry? Are you passionate about joining a premier asset management firm as part of their talented and dynamic distribution team? At State Street Investment Management , we are looking for an ETF Sales Associate to join our ETF Sales Desk office. In this role, you will be responsible for driving business with clients in the highest areas of concentrated wealth within a specific territory. In addition to having direct ownership of intermediary clients, you will also collaborate with your external Regional Consultant to increase SPDR market share within their territory. Responsibilities: Sales planning : in conjunction with the external Regional Consultant, align and execute territory business plans to improve the distribution of SPDR ETFs among financial advisors Sales process : orchestrate a team...

Ca

Chief Compliance Officer for Investments & Reinsurance - Director

Careers at KKR

New York, NY, USA

Feb 10, 2026

COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR’s insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR’s investments may include the activities of its sponsored funds and insurance subsidiaries. POSITION OVERVIEW The Chief Compliance Officer will oversee the development, implementation, and monitoring of the global insurance compliance programs with an emphasis on the Reinsurance and Investment Management business lines at Global Atlantic....

DP

Specialist, Business Development- Investment Management Group

Davis Polk & Wardwell LLP

New York, NY, USA

Feb 09, 2026

Davis Polk & Wardwell LLP (including its associated entities) is an elite global law firm with world-class practices across the board. Clients know they can rely on Davis Polk for their most challenging legal and business matters. Our approximately 1,000 lawyers located in 10 offices in the world’s key financial centers and political capitals collaborate seamlessly to deliver exceptional service, sophisticated advice and creative, practical solutions. Visit davispolk.com . Position Summary The Business Development team supports the firm across a broad spectrum of new business and client relationship-building activities, including the creation of new business proposals and firm marketing materials, upkeep of the databases that track firm experience and client information, competitive and market intelligence, and coordination of client events. The Business Development Specialist works closely with partners and other lawyers in our Investment...

ab

Junior Compliance Officer - Marketing Review Specialist

abrdn

Philadelphia, PA, USA

Feb 09, 2026

Job Description WHO WE ARE Aberdeen Investments is part of Aberdeen Group plc, one of the UK’s leading Wealth & Investments groups. Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industry’s best talent. Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients, customers, colleagues, shareholders and society. We are repositioning our specialist asset management business to meet client demand and are committed to providing excellent client service, supported by leading technology and talent. As a global business, Aberdeen consists of three divisions: Investments, Adviser, and interactive investor (ii). Each division is dedicated to meeting and adapting to our clients' evolving needs. In the Americas,...

Alternative Investments Analyst - Cigna Investment Management (CIM) - Hybrid

The Cigna Group

Bloomfield, CT, USA

Feb 08, 2026

Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company. CIM’s assets are invested in public and private corporate bonds, commercial mortgages, private equity, private credit, real estate equity, public equity and short-term investments. Join our Alternative Investments team and help source, evaluate, and execute attractive new investment opportunities with third-party fund managers. In this role, you will collaborate with experienced investment professionals, contribute meaningful insights, and develop expertise across private credit, mezzanine debt, private equity secondaries, and equity buyout strategies. If you’re curious, analytical, and eager to learn in a dynamic environment, this is an exciting opportunity to build your career in alternatives. Responsibilities Support sourcing, evaluation and execution of limited partnership fund commitments and direct co-investment opportunities...

Ap

Registered Funds Compliance Officer - Global Wealth

Apollo

New York, NY, USA

Feb 08, 2026

Position Overview Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes. Come to Apollo and join a...

Director, Alternative Investments - Cigna Investment Management (CIM) - Hybrid

The Cigna Group

Bloomfield, CT, USA

Feb 08, 2026

Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company. CIM’s assets are invested in public and private corporate bonds, commercial mortgages, private equity, private credit, real estate equity, public equity and short-term investments. Join our Alternative Investments team and take a lead role in sourcing, evaluating, and executing attractive new investment opportunities with third-party fund managers. In this role, you will collaborate with experienced investment professionals to identify best-in-class investment opportunities, perform rigorous analysis, conduct research and contribute to decisions that influence our overall portfolio performance. If you thrive in a dynamic environment and have a passion for private markets, we invite you to bring your expertise to CIM’s Alternative Investments team. Responsibilities Lead sourcing, evaluation and execution of limited partnership fund...

Account Opening Oversight Analyst, Officer - State Street Investment Management

State Street

Boston, MA, USA

Feb 07, 2026

State Street Investment Management’s (“State Street IM”) Global Funds Management (“GFM”) team drives sound fund oversight programs across the firm’s funds and services. GFM’s Account Opening & Maintenance Team (“AOM”) needs an AOM Oversight Analyst who will be responsible for managing foreign market sub-account openings, maintenance, and renewals for State Street IM’s funds. Foreign market sub-accounts must be opened for Portfolio Managers to trade within a market(s). Key responsibilities include, though not limited to: Complete country-specific requirements to open sub-accounts in foreign markets while adhering to each market’s regulatory requirements. Understanding of global custodian market networks and country-specific requirements. Awareness and understanding of State Street IM’s fund launches and initiatives that drive the need for new or updates to existing sub-accounts. Be the “sub-account” expert to internal business partners by communicating various...

Ca

Senior Data Governance & Data Quality Specialist (Microsoft Purview | Investment Management)

Capgemini

New York, NY, USA

Feb 07, 2026

Choosing Capgemini means choosing a company where you will be empowered to shape your career in the way you’d like, where you’ll be supported and inspired by a collaborative community of colleagues around the world, and where you’ll be able to reimagine what’s possible. Join us and help the world’s leading organizations unlock the value of technology and build a more sustainable, more inclusive world. Location: Newark NJ (Hybrid) Job Description Title: Senior Data Governance & Data Quality Specialist (Microsoft Purview | Investment Management) Employment Type : Full‑time Role Overview We are seeking a Senior Data Governance & Data Quality Specialist with deep, hands‑on expertise in Microsoft Purview to support a complex Investment / Asset Management environment. This is a client‑facing, delivery‑oriented role focused on assessing, structuring, and optimizing an existing Purview implementation while guiding business and technical stakeholders on...

ML

Investment Management Paralegal

Morgan Lewis

Philadelphia, PA, USA

Feb 06, 2026

Morgan, Lewis & Bockius LLP, one of the world’s leading global law firms with offices in strategic hubs of commerce, law, and government across North America, Asia, Europe, and the Middle East, is seeking to hire an entry level Paralegal in the Investment Management Practice Group. The Investment Management Paralegal will be responsible for working with attorneys, clients, accountants and other team members to prepare Securities and Exchange Commission filings, correspondence and Board meeting materials, in compliance with federal securities regulations. Morgan Lewis recognizes the benefits of supporting flexible working arrangements. This position can reside in either of the following offices: Philadelphia or Washington D.C.; with a hybrid in-office/remote working schedule. Flexibility with overtime is required. Responsibilities Performs a variety of basic and increasingly complex paralegal assignments under the supervision of attorneys and with the...

Va

Investment Management Product Manager, Senior Specialist

Vanguard

Malvern, PA, USA

Feb 06, 2026

Core Responsibilities 1. Investment Data Product Ownership & Strategy Own the Investment Data Stewardship product vision , strategy, and multi‑year roadmap across fund, benchmark, performance, and metadata domains. Define data product standards for accuracy, timeliness, lineage, and usability across WPS platforms (e.g., participant tools, advisor experiences, reporting). Drive prioritization decisions balancing business value, risk mitigation, regulatory needs, and technical feasibility . 2. Investment Domain Leadership Act as a subject matter authority on investment data , including: Mutual funds, collective trusts, and separate accounts Benchmarks, peer groups, and index relationships Returns, asset allocation, attribution, and risk measures Ensure investment data interpretations are consistent, auditable, and suitable for participant and advisor consumption . Establish guardrails for fiduciary‑grade data usage across digital channels. 3....

BB

Institutional Investment Management Intern

Bell Bank

Fargo, ND, USA

Feb 06, 2026

This internship provides a unique opportunity to learn about investment strategies, research, and portfolio construction across the various clients we serve. You’ll collaborate with experts in the field and contribute to real-world investment decisions. This internship will provide exposure to the different areas of institutional investment management through introductions, hands-on projects, and participation in investment strategy meetings. Primary Duties: Asset Allocation: Assist in analyzing asset allocation strategies for institutional clients across our various client types. Portfolio Construction: Participate in constructing and rebalancing investment portfolios. Manager Selection: Research and evaluate investment managers across various asset classes. Performance Reporting: Monitor portfolio performance, assess investment outcomes, and provide accurate and timely reporting for clients and Bell strategies. Market Research: Stay informed about market trends,...

KB

Regional Compliance Officer - Key Investment Services (KIS)

KeyBank

Brooklyn, OH, USA

Feb 05, 2026

Location: 4900 Tiedeman Road, Brooklyn Ohio Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency...

DF

Counsel, Funds & Investment Management

Dimensional Fund Advisors

Austin, TX, USA

Feb 04, 2026

Notes to applicants: Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role. Resumes and portfolios (when applicable) are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer....

BM

Sr. Compliance Officer, LRC

BMO

Milwaukee, WI, USA

Feb 04, 2026

Application Deadline: 02/20/2026 Address: 790 N Water Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to...

29 jobs found

Chief Compliance Officer