About this role: Wells Fargo is seeking a Principal Compliance Officer to provide senior-level, second-line compliance leadership for its Equities business within Corporate & Investment Banking. The role will oversee compliance coverage of Wells Fargo’s Prime Brokerage business and serve as a trusted advisor to senior business and control leaders.   This highly visible position will help guide the continued growth of the Prime Brokerage platform, advise on new products and business initiatives, and provide credible challenge on complex regulatory, conduct, operational, and reputational risks. The successful candidate will bring deep broker-dealer compliance expertise and the ability to translate regulatory requirements into practical, scalable business solutions. In this role, you will: Act as a recognized Compliance subject matter expert for a line of business, function, or Level 2 compliance risk type, leading complex, innovative, and diverse initiatives with...

About Man Group Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent. Headquartered in London, we manage $253.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at At Man Group, we respect your privacy and we are committed to protecting and...

About the Role   iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role will focus on regulatory oversight, compliance testing, marketing review and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product.     Responsibilities   Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds.   Review registered fund filings, marketing materials, and client communications.   Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act...

About the Role iCapital is seeking an ERISA Compliance Assistant Vice President to support its compliance program relating to the Employee Retirement Income Security Act of 1974 (ERISA), Department of Labor regulations, prohibited transaction exemptions, and Qualified Professional Asset Manager (QPAM) requirements. This role will support ERISA-related regulatory obligations affecting iCapital's registered investment advisers, collective investment trusts, retirement-focused investment products, and retirement-plan clients. The ideal candidate has hands-on ERISA or retirement compliance experience and can independently manage defined compliance workstreams while partnering effectively with Legal, Product, Fund Finance, Investment Management, Distribution, and senior Compliance personnel. Responsibilities Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs in coordination with senior Compliance...

  About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.   Responsibilities · Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings. · Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings. · Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management. ·...