15 jobs found

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...

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...

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...

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...

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...

We are seeking a Compliance Analyst II with a strong desire to learn and grow with Destination Wealth Management. The Compliance Analyst II primary function is to work directly with the Compliance on developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with the various regulatory authorities. Responsibilities: • Assist with policies and procedures meant to ensure compliance with applicable laws, knowledge of the Investment Advisers Act, SEC rules and regulations. • Reviewing compliance policies, procedures and related documentation as required. • Communicating compliance policies and guidelines to teams and employees. • Assisting Compliance with completion of various compliance tasks including, but not limited to, disclosure documentation updates, policies and procedures reviews, personal securities reviews, advertising...

Within TD Wealth the oversight of controls and the management of regulatory risk exposures for its Global Asset Management operations are managed by the Regulatory & Policy Governance (“RPG”) Group within the TD Wealth business, a 1B group, which has its Head Office in Toronto, Canada. In order to perform this function, RPG assesses regulatory rule changes and industry practices, prepares polices, maintains a regulatory rule inventory and in conjunction with Compliance educates the business on regulations and controls, monitors control effectiveness, and act as Centers of Excellence supporting the business to improve its control environment. This 1B Business Governance Control ("1B") role will support the TD Wealth asset management businesses in the US to achieve sustainable commercial strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealth's policies, risk appetite and local regulatory requirements. This role will...

The Associate General Counsel (Investment Adviser) position provides advice and counsel to Nuveen’s investment management business leaders and colleagues in areas such as investment adviser regulation, distribution of investment products and services, investment transactions/trading, and governance.  This position is a key partner in the growth of Nuveen’s Equities and Fixed Income business, which represents approx. $850 billion in AUM (as of 10/31/22) across a wide variety of asset classes, wrappers, and client types, including institutional and retail separately managed accounts, investment companies, hedge funds and other pooled investment vehicles.  The Associate General Counsel position supports the firm’s institutional SMA business, retail SMA business, and certain alternatives products, providing important advice and leadership on legal issues. The position collaborates with other Law & Policy Department colleagues (in the U.S. and globally) as well as Compliance,...

The ideal candidate would join Birch Hill as an Investment Operations Associate. The position has exposure to many different areas of Birch Hill, including operations, research, trading, technology, project management, and client service. Attitude, versatility, and work ethic are important for this position. We are looking for someone to step in and run with this opportunity. The role will begin in the office with a transition to a hybrid schedule. To apply, please send resume and cover letter to  hr@bhboston.com . Ideal Candidate A highly motivated self-starter that loves to learn An independent problem solver who can excel with minimal oversight Someone who can leverage technology with a desire to add efficiency to workflows Someone with the ability to multi-task across a diverse set of tasks and projects Duties and Responsibilities Trading responsibilities include equity & fixed-income trade execution, trade settlement, managing...

Maintain the regulatory compliance management (“RCM”) program for the US Wealth Asset Management Businesses. • Work with business stakeholders to develop key controls to adhere to regulatory requirements and vet regulatory mapping of policies and procedures and controls (“RCM Rule Mapping”). • Provide effective 1B challenge to ensure the effective design of controls owned by 1A business stakeholders. • Implement a process to ensure the ongoing accuracy of control descriptions and control owners in the RCM Rule Mapping and related policies and procedures. • In conjunction with Compliance define a regulatory rule change engagement model and support the businesses on implementation including providing training. • Be a subject matter expert on interpreting the application of the regulatory requirements (securities, privacy, AML) for the businesses with support from Compliance and Legal. • Prepare and maintain business compliance policies and procedures and incorporate reviews by...

Obra Capital Managment, LLC Location: Austin, TX Obra Capital Management, LLC (“Vida”) is an asset manager and Registered Investment Adviser. Obra is currently searching for a Compliance Associate (“Associate”) to join our team. This position will work directly with the Director of Compliance. This is an excellent opportunity to join a growing firm. Obra is part of the Obra Capital, Inc. platform. Obra Capital, Inc. is a vertically integrated, uncorrelated investment firm specializing in insurance, longevity, structured credit, and asset-backed lending with $3.9 billion in assets under management. The firm aims to generate long term value and attractive returns for investors across closed-end and open-end funds. With capabilities in investing, originating, structuring, and servicing, Vida Capital provides differentiated investment opportunities and capital solutions for investors globally. Vida Capital’s wholly owned subsidiary, Magna Life...

The Senior Associate – Trader is a key role on Champlain’s Trading team and reports directly to the Head Trader. This position is located in our Burlington, Vermont office. Key responsibilities include: Team Communication – Aggregate news related to Champlain’s holdings and distribute daily to the firm. Trade Execution – Assist Head Trader with domestic trade execution. Program Trading – Prepare and execute accurate program trades to rebalance client accounts. Trade Processing – Ensure end of day trade processing workflows run correctly. Assist outsourced trade settlement group as needed. Trade Reporting – Complete monthly, quarterly, and annual commission reports. Work collaboratively with Operations and Client Service departments on commission-related client requests. Questionnaires – Respond to due diligence questionnaires received from clients and consultants as they pertain to Champlain’s trading desk. Weekly Meetings – Attend and add...

The Legal Analyst reviews trading agreements, creates data resources of key provisions, drafts and negotiates agreements in close relationship with lead attorney, facilitates communication with internal clients, and supports due diligence exchanges with agreement counterparties. This job may include additional responsibilities related to regulatory change affecting trading agreements, such as FINRA Rule 4210 and uncleared swap initial margin requirements. Key Responsibilities and Duties • Negotiates a broad range of legal documentation on behalf of mutual funds, private funds, insurance companies, ERISA plans and other types of investors. • Helps maintain flow of information among different groups within TIAA and Nuveen and externally. • Reviews and negotiates trading agreements including ISDA Master Agreements, FCM agreements, Master Securities Forward Transaction Agreements, prime brokerage and listed option clearing agreements and related credit support documentation...

Compliance Sr Associate The Compliance Senior Associate - Gresham will be responsible for supporting day-to-day aspects of Gresham’s Compliance Program.   This position reports to the Chief Compliance Officer and will involve assisting with a wide variety of compliance‐related activities involving Gresham’s private funds business and SMA clients.   Key Responsibilities and Duties Review and execute day‐to‐day compliance program activities (e.g., investor due diligence questionnaires, certifications and other similar types of requests, regulatory filings and disclosures, monitoring, training, registrations, third‐party service provider due diligence reviews, among other core compliance program activities), as applicable. Prepare and Partner with internal departments to prepare and submit Gresham’s regulatory filings and disclosures (i.e., Form ADV, Form PF, Form Ds, Blue Sky filings, NFA Bylaw 1101 etc.), as appropriate. Report and maintain ongoing Compliance...

We have an opening for a Compliance Officer at Great Lakes Advisors, LLC, a subsidiary of Wintrust Financial Corporation based in Illinois.  The primary focus for this person will be to lead compliance oversight of subadvisors and other key service providers specific to our Stamford, CT office.  If anyone has interest, they can use the link below for more details and to apply:    https://wintrust.wd1.myworkdayjobs.com/Search/job/Chicago-IL/Compliance-Officer_223056 The Compliance Officer, Sub-Advisory and ERISA Funds, will be a senior member of GLA’s compliance department and will primarily focus on supporting the registered investment company and ERISA plan assets clients. The position will serve as the compliance program lead working closely with other members of the GLA and Wintrust compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the...