11 jobs found

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...

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...