HW

Chief Compliance Officer (US)

Hoxton Wealth

Arlington, TX, USA

Mar 10, 2026

Chief Compliance Officer — SEC Registered Investment Adviser (RIA) Location: USA (Remote) Reporting to: Chief Compliance Officer - Global Overview We are an SEC-regulated wealth and investment business seeking an experienced Head of Compliance to support and strengthen our US compliance function. This role will play a key part in maintaining robust regulatory oversight while contributing to the continued development and scalability of our compliance framework. The successful candidate will operate within an established infrastructure, partnering closely with the Chief Compliance Officer and senior leadership to ensure regulatory integrity, effective risk management, and operational efficiency. Key Responsibilities Immediate priorities Maintain SEC regulatory compliance across the RIA Oversee ongoing monitoring, testing, and surveillance activities Support regulatory filings, including Form ADV updates and amendments Manage and execute the...

Featured

Fund Compliance Manager

Featured

Bitwise Asset Management, Inc.

Hybrid (New York, NY, USA)

Feb 24, 2026

It’s rare that a new asset class is born. Nevertheless, we’re witnessing exactly that with the rise of crypto. Over just the last few years, since Bitwise was founded, crypto has evolved from an embryonic $50B market to a growing $3T+ juggernaut. At Bitwise, we believe that crypto has reached a turning point, and is headed north of $10T over the next few years. This is an exciting moment for Bitwise as a firm. For eight years, we have established a track record of excellence managing a broad suite of index and active solutions across ETFs, separately managed accounts, private funds, institutional staking, and hedge fund strategies. This year, we crossed $15B in client assets and are growing quickly. Thousands of financial advisors, family offices, and institutional investors partner with Bitwise to understand and access the opportunities in crypto. We are known for providing unparalleled client support through expert research and commentary, a nationwide client team of...

MN

Director, Business Strategy & Investment Management Office

Mazda North American Operations

USA

Mar 10, 2026

Job Description The Director, Business Strategy & Investment Management Office is responsible for driving the development, execution, and continuous refinement of the organization’s long-term vision and business strategy. This leadership role oversees planning, investment management and value realization initiatives that support sustainable growth and operational excellence. The Director will lead cross-functional teams to assess market trends, forecast industry shifts, and align organizational priorities with emerging opportunities. In addition to spearheading enterprise-wide strategic initiatives, this role will provide oversight for the Investment Management Office (IMO), ensuring the effective planning, allocation, and administration of funding to optimize the return on investment for key programs and services. This position works closely with Finance and department heads to integrate strategic objectives into annual budgeting and resource allocation processes. The...

BM

Compliance Officer, Registrations

BMO

Chicago, IL, USA

Mar 10, 2026

Application Deadline: 03/27/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Qualifications: Typically between 3 - 5 years of experience in regulatory compliance, preferably within a broker‑dealer or similar financial services environment. Direct experience administering employee registrations with FINRA, NFA, and/or SEC, including completing and managing Form U4/U5 filings and registration amendments. Strong understanding of U.S. securities and derivatives regulations, including FINRA rules and registration categories, NFA and CFTC registration requirements, and SEC regulatory framework for registered representatives Experience with regulatory systems such as FINRA Gateway, NFA ORS, WebCRD, and CE systems. Experience conducting compliance monitoring, testing, risk assessments, or controls evaluation. Proficiency in Microsoft Office (Excel, Word, PowerPoint) and ability to learn specialized compliance systems....

VF

Recruiter - Investment Management / Finance

Voya Financial

Atlanta, GA, USA

Mar 10, 2026

Together we fight for everyone’s opportunity for a better financial future. We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today. Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully...

Ca

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

Capgemini

New York, NY, USA

Mar 10, 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...

BA

Associate Counsel, Investment Management

Bridgewater Associates

Westport, CT, USA

Mar 10, 2026

About Bridgewater Bridgewater Associates is a premier asset management firm, focused on delivering unique insight and partnership for the most sophisticated global institutional investors. Our investment process is driven by a tireless pursuit to understand how the world’s markets and economies work — using cutting edge technology to validate and execute on timeless and universal investment principles. Founded in 1975, we are a community of independent thinkers who share a commitment for excellence. By fostering a culture of openness, transparency, and inclusion, we strive to unlock the most complex questions in investment strategy, management, and corporate culture. Explore more information about Bridgewater on our website here . About Our Culture Our culture is anchored in excellence—meaning constant improvement—and it is deeply tied to our mission. Because markets are objective, competitive, and getting smarter everyday—we need to keep rapidly improving to have...

Fixed Income Trading Assistant/Junior Trader - Cigna Investment Management (CIM) - Hybrid

The Cigna Group

Bloomfield, CT, USA

Mar 07, 2026

The job profile for this position is Investment Lead Analyst, which is a Band 3 Senior Contributor Career Track Role. Excited to grow your career? We value our talented employees, and whenever possible strive to help one of our associates grow professionally before recruiting new talent to our open positions. If you think the open position you see is right for you, we encourage you to apply! Our people make all the difference in our success. 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 bonds, private placement securities, commercial mortgages, real estate equity, mezzanine debt, private equity, equity securities, warrants, commercial paper, certificates of deposit, municipal securities, mutual fund shares, United States government securities, options contracts on securities, futures contracts on intangibles, money market funds, derivatives,...

NL

Chief Compliance Officer - NLG Capital

National Life Insurance Company

Addison, TX, USA

Mar 07, 2026

Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. About Us NLG Capital, the investment management company of NLG, manages approximately $40 billion in AUM. Our purpose is simple – to allow NLG to keep its promises. How we do this – an obsessive focus on delivering...

Product Marketing Manager - State Street Investment Management, Assistant Vice President

State Street

Boston, MA, USA

Mar 07, 2026

If you are a driven, curious, and high-energy marketing professional ready to step into an exciting role within a focused marketing organization, this marketing position with State Street Investment Management’s business might be for you. We are seeking an AVP, Marketing Manager to play a significant role in building and growing the State Street Investment Management business in North America. In this role, you will work collaboratively across the organization to deliver integrated channel and product campaigns that lead to commercial success. The successful candidate will have a deep interest in financial markets, investment trends and innovation as well as enjoy working with colleagues to ensure alignment on objectives, strategy and positioning. RESPONSIBILITIES AND EXPECTATIONS This is an opportunity for a well-rounded and highly collaborative marketing professional with existing insights into the US Wealth and Institutional market segments and experience in leading...

TD

Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)

TD

New York, NY, USA

Mar 06, 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: The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the...

Fractional Compliance Officer

PactFi

USA

Mar 06, 2026

About PactFi Private asset markets (PE, Private Credit, VC, Real Estate) have 10x to 9.8T in AUM over the past decade and are projected to grow to $17T in the next five years. However, digital infrastructure has not kept pace, with most of the market operating predominantly in error-prone, internal-only software solutions. PactFi provides secure, end-to-end, operational infrastructure for managing complex private credit transactions. Our web-based application brings together all parties involved in such a transaction to more efficiently allocate capital, complete KYC, share documents, manage funds flow, and more. The platform is secured to a bank-grade standard, and we have received our SOC 2 Type 2 attestation. PactFi was developed in close partnership with two of the industry's largest players, both of whom represent the top 3 players in the private credit space by both size (AUM) and deal activity. Overview We are a rapidly growing capital markets fintech company...

Va

Senior Manager, Model Validation - Investment Management

Vanguard

Malvern, PA, USA

Mar 06, 2026

The Model Risk Management (MRM) Team, part of Vanguard’s second line of defense, is seeking an experienced model risk professional to support independent oversight of quantitative models used across Vanguard’s Investment Management Group (IMG). Vanguard is a global investment management firm with a mission to give investors the best chance for investment success. Through its Investment Management Group, Vanguard designs, manages, and oversees a broad range of active and passive investment strategies across asset classes, vehicles, and geographies, supporting mutual funds, ETFs, and institutional mandates. These activities rely on quantitative models spanning portfolio construction, risk management, trading, asset allocation, and performance measurement, including an increasing use of advanced analytics and machine learning techniques. In this role, you will lead the independent validation and challenge of models used within IMG, ensuring they are conceptually sound, well...

LS

Corporate Paralegal, Investment Management

Lowenstein Sandler

Roseland, NJ, USA

Mar 06, 2026

Who We Are: Lowenstein Sandler is one of the most sophisticated law firms in the United States, with over 400 lawyers and 300 business services professionals serving clients from offices in New York, Palo Alto, New Jersey, Utah and Washington, D.C. Our primary administrative offices are in Roseland, New Jersey, where we are consistently ranked among the best places to work. We recruit candidates who seek a collaborative, entrepreneurial culture that prioritizes our clients, our colleagues, and the communities where we work and live. Committed to career development and to an inclusive workplace, the firm offers many programs and opportunities for personal and professional growth. We seek professionals for our business services group who share these values. What You Will Do: This position is designed for an experienced paralegal with at least 3–5 years of investment management or private funds experience. The successful candidate will have hands-on experience with entity...

Channel Marketing Manager - State Street Investment Management, Assistant Vice President

State Street

Boston, MA, USA

Mar 06, 2026

If you are a driven, curious, and high-energy marketing professional ready to step into an exciting role within a focused marketing organization, this marketing position with State Street Investment Management’s business might be for you. We are seeking an AVP, Marketing Manager to play a significant role in building and growing the State Street Investment Management business in North America. In this role, you will work collaboratively across the organization to deliver integrated channel and product campaigns that lead to commercial success. The successful candidate will have a deep interest in financial markets, investment trends and innovation as well as enjoy working with colleagues to ensure alignment on objectives, strategy and positioning. RESPONSIBILITIES AND EXPECTATIONS This is an opportunity for a well-rounded and highly collaborative marketing professional with existing insights into the US Wealth and Institutional market segments and experience in leading...

Product Marketing Manager - State Street Investment Management, Assistant Vice President

State Street

Boston, MA, USA

Mar 06, 2026

If you are a driven, curious, and high-energy marketing professional ready to step into an exciting role within a focused marketing organization, this marketing position with State Street Investment Management’s business might be for you. We are seeking an AVP, Marketing Manager to play a significant role in building and growing the State Street Investment Management business in North America. In this role, you will work collaboratively across the organization to deliver integrated channel and product campaigns that lead to commercial success. The successful candidate will have a deep interest in financial markets, investment trends and innovation as well as enjoy working with colleagues to ensure alignment on objectives, strategy and positioning. RESPONSIBILITIES AND EXPECTATIONS This is an opportunity for a well-rounded and highly collaborative marketing professional with existing insights into the US Wealth and Institutional market segments and experience in leading...

Wh

Chief Compliance Officer (Fractional)

Wheel

USA

Mar 06, 2026

Position: Chief Compliance Officer (Fractional) Location: Remote About the Company Wheel is evolving the traditional care ecosystem by equipping the nation's most innovative companies with a premier platform to deliver high-quality virtual care at scale. We offer proven strategies and cutting-edge technologies to foster consumer engagement, build brand loyalty, and maximize return on investment. Wheel solutions include configurable virtual care programs, an intuitive consumer interface, and access to a nationwide network of board-certified clinicians. Discover how Wheel is transforming the future of healthcare by visiting www.wheel.com . About the Role We are seeking a visionary Chief Compliance Officer to lead our compliance department and safeguard our mission of providing accessible virtual care. The ideal candidate will have a proven track record of performing "compliance discovery" - identifying regulatory gaps in nascent or scaling organizations - and...

Channel Marketing Manager - State Street Investment Management, Assistant Vice President

State Street

Boston, MA, USA

Mar 06, 2026

If you are a driven, curious, and high-energy marketing professional ready to step into an exciting role within a focused marketing organization, this marketing position with State Street Investment Management’s business might be for you. We are seeking an AVP, Marketing Manager to play a significant role in building and growing the State Street Investment Management business in North America. In this role, you will work collaboratively across the organization to deliver integrated channel and product campaigns that lead to commercial success. The successful candidate will have a deep interest in financial markets, investment trends and innovation as well as enjoy working with colleagues to ensure alignment on objectives, strategy and positioning. RESPONSIBILITIES AND EXPECTATIONS This is an opportunity for a well-rounded and highly collaborative marketing professional with existing insights into the US Wealth and Institutional market segments and experience in leading...

AG

Deputy Client Compliance Officer

Apex Group Ltd

USA

Mar 05, 2026

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers. Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion. That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience. Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities. For our business, for clients, and for you The role holder will act as deputy to...

AF

Director - Investment Management Analysis

Ameriprise Financial Services, LLC

Minneapolis, MN, USA

Mar 05, 2026

About Our Company We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Job Description The Director, Investment Management Analysis will play a critical role in shaping and executing the investment strategy for Ameriprise’s Owned Assets portfolio. This position is critical to the firm’s investment...

30 jobs found

Chief Compliance Officer (US)