About this role: Wells Fargo is seeking a Lead Compliance Officer to serve as a leader within the Personal Account Dealing (PAD) program, with responsibility for critical components of the control framework that ensure accurate PAD subject population and trade freeze coverage. This role maintains the employee attributes, coverage logic, and related processes that drive PAD program controls and system outcomes, including annual attestation and trade restriction controls. The role requires strong leadership, sound judgment, and the ability to work closely with PAD leadership, business partners, and senior executives to drive well-controlled outcomes, address risk, and ensure a smooth and credible experience for stakeholders. Success in this role will be measured by the ability to build strong partnerships across line-of-business Compliance, Front Line, Legal, and Control teams to keep PAD coverage and the trade freeze population accurate, timely, and aligned with business...

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic.  Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with 45 offices serving clients in 19 countries. MSIM’s professionals worldwide provide outstanding...

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency:  English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...

  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description Partners with leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, and other RCA Managers to, depending on the function, oversee the successful creation, implementation, and maintenance of an effective risk management framework. Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Facilitate the identification of gaps and...

Harbor Group Management Company is a multi-billion dollar real estate investment and property management firm.  As we continue to grow, we are looking for passionate, goal oriented, creative individuals with an entrepreneurial spirit and great communication skills.  Harbor Group is dedicated to outstanding customer service and providing exquisite living experience for our residents. Vice President, Investment Management Position: Vice President, Investment Management Location: New York, NY   JOB SUMMARY HGI is seeking a Vice President to join our Investment Management team. The VP will lead the analysis, monitoring, and reporting on all aspects of investments across the portfolio, taking ownership of performance evaluation, valuation, and investor communications. The VP will oversee junior team members, drive quarterly reporting and distribution processes, and serve as a key point of contact for investors, auditors, and internal leadership....

Harbor Group International (HGI) is a leading global private equity real estate investment manager, with $21 billion in assets under management. HGI's vertically integrated platform offers a broad range of both direct real estate and credit strategies across the risk/return spectrum. Senior Associate, Investment Management Position: Senior Associate, Investment Management Status: Exempt Location: New York, NY JOB SUMMARY HGI is seeking a Senior Associate to join our Investment Management team, with a focus on our fund and real estate credit platforms. The Senior Associate will support fund and investment level analysis, monitoring, and reporting across the portfolio, with meaningful ownership of performance evaluation, valuations, and investor reporting workstreams. The role contributes to quarterly reporting and distribution processes, supports underwriting and surveillance of credit investments, and serves as a day-to-day point of contact for investors,...

Job Posting Title Capitol Compliance Officer & Internal Auditor Agency 740 STATE TREASURER Supervisory Organization Office of the State Treasurer Job Posting End Date Refer to the date listed at the top of this posting, if available. Continuous if date is blank. Note: Applications will be accepted until 11:59 PM on the day prior to the posting end date above. Estimated Appointment End Date (Continuous if Blank) Full/Part-Time Full time Job Type Regular Compensation Starting Annual Salary Range: $65,000.00 - $80,000.00, based on education and experience. Job Description Starting Annual Salary Range: $65,000.00 - $80,000.00, based on education and experience.   About The Job: The Oklahoma State Treasurer (OST) is seeking a detail-oriented and hard-working individual to join our Compliance & Audit team. The Compliance Officer & Internal Auditor position ensures fiscal policies, practices, and/or...

About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...

Application Deadline: 05/31/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Equities Compliance Vice President will assist in effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  The Equities Compliance Vice President will be expected to have functional knowledge of a host of equity topics, such as, FINRA Rules 2210, 3130, 5310, as well as SEC Rules 605/6, 15c3-5. The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.  This role will have a specific focus on compliance oversight over BMO’s Capital Markets and...

JLL empowers you to shape a brighter way .   Our people at JLL are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where they belong.  Whether you’ve got deep experience in commercial real estate, skilled trades or technology, or you’re looking to apply your relevant experience to a new industry, join our team as we help shape a brighter way forward.    Role Summary The Affordable Housing Investment & Asset Management professionals will support the strategy, execution, and oversight of real estate assets and investment activities within LaSalle’s Affordable Housing platform. This role is part of a multidisciplinary team responsible for portfolio oversight, transaction execution, and asset performance across a national portfolio. Responsibilities may include...

State Street Investment Management (“State Street IM,” formerly known as State Street Global Advisors or SSGA) is seeking an experienced Product Manager to drive enterprise transformation and deliver scalable, client‑centric outcomes across the Client Experience ecosystem. The role demands expertise across front, middle, and back‑office platforms, with a solid understanding of integrations and data flows to support alignment with the Alpha target operating model and roadmap. Operating at both strategic and execution levels, the Product Manager translates business vision into actionable roadmaps while ensuring disciplined delivery, operational excellence, and effective risk management. What You Will Be Responsible For: Own product leadership for current‑state Middle Office integration with Client Experience platforms, coordinating performance, accounting, security master, and index data flows across the ecosystem. Understand the Alpha Target State and ensure that Client...

About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...