Investment Compliance Specialist Jobs | Glassdoor
  • All Jobs (2,271)

Investment Compliance Specialist Jobs

Filters
Filters
  • Wall Street Personnel – East Los Angeles, CA
    EASY APPLY
    3 days ago 3d
    automation in the compliance systems. Review investment guidelines for separately-managed accounts as well as the investment objectives… years experience in the investment management field, including experience in trade/portfolio compliance. Knowledge of CMGR/Bloomberg…
  • 3.9
    Bank of Hawaii – Honolulu, HI
    Est. Salary $42k-$70k
    17 days ago 17d
    and operational changes; monitors regulatory and investment policy compliance; maintains internal controls; prepares for and responds… following: (1) day-to-day processing of securities booked in the investment portfolio system, including settlement and custody; (2) entry…
  • 3.6
    T. Rowe Price – Baltimore, MD
    Est. Salary $38k-$63k
    3 days ago 3d
    desk; assists trading and investment personnel with compliance issues and provides other ad-hoc compliance support as needed; exercises… the development, maintenance and/or execution of the investment compliance monitoring program. Works with occasional instruction…
  • 3.3
    CSAA Insurance Group – Walnut Creek, CA
    Est. Salary $57k-$97k
    20 days ago 20d
    Job Title Senior Tax Specialist - Investments Requisition Number R1662 Senior Tax Specialist - Investments (Open) Location Walnut… maintains complex investment entries for tax provisions, returns and forecasts Identifies strategic investments and tax credit opportunities…
  • 2.9
    Altisource – Southfield, MI
    Est. Salary $41k-$64k
    20 days ago 20d
    development opportunities. We are looking for a Compliance Research Specialist to help our business unit Mortgage Builder differentiate… determine impact on our customer base Work with Compliance Product Specialist to identify relevant statutes that require changes…
  • 3.3
    Comerica – Detroit, MI
    1 days ago 13hr
    rebalance according to investment programs selected. * Oversee investment exception reporting, tracking and compliance. Monitor account… with Trust Advisors & Trust Specialists. * Research and resolve complex and sensitive investment related questions & problems.…
  • 4.3
    Linium Recruiting – New York, NY
    Est. Salary $47k-$93k
    1 days ago 21hr
    Regulatory Compliance Specialist to join our growing team. This team supports Dodd-regulatory reporting and compliance services… services for Registered Investment Advisors and Hedge Funds. Responsibilities include preparing various regulatory forms to include SEC…
  • 3.3
    Huntington National Bank – Columbus, OH
    9 days ago 9d
    Senior Compliance Branch Review Specialist will play a critical role in the successful execution of the firm's compliance mission… regulations and rules that govern our business. The Compliance Specialist Senior will work closely with business, legal, risk,…
  • 2.9
    FirstMerit – Columbus, OH
    10 days ago 10d
    Job Title: Investments - Compliance Branch Review Specialist Sr Location Options for this Opening: 41 South High Street, Columbus… Senior Compliance Branch Review Specialist will play a critical role in the successful execution of the firm's compliance mission…
  • 3.4
    HallKeen Management, Inc. – Norwood, MA
    Est. Salary $37k-$61k
    5 days ago 5d
    motivated and experienced Compliance Specialist to assist in the everyday operations of the Compliance department. Some of the duties… Company Description HallKeen is a real estate management and investment company that acquires, develops and manages properties throughout…
  • United States
    9 days ago 9d
    Senior Compliance Branch Review Specialist will play a critical role in the successful execution of the firm's compliance mission… regulations and rules that govern our business. The Compliance Specialist Senior will work closely with business, legal, risk,…
  • 3.2
    LendingClub – San Francisco, CA
    13 days ago 13d
    deadlines At least 2 years of experience with respect to the investment or financial services industry Solid analytical and critical… candidates for the position of Enterprise Risk and Fraud Specialist. Based in San Francisco, CA, the successful candidate will…
  • 3.8
    Capital Group – Los Angeles, CA
    Est. Salary $56k-$93k
    17 days ago 17d
    technical expertise in discharging our compliance responsibilities. As a Senior Compliance Specialist based in Los Angeles, you will… controls to ensure compliance of our mutual funds and institutional products with disclosed and regulatory investment limits; lead compliance…
  • 3.3
    HSBC Holdings – Miami, FL
    Est. Salary $52k-$88k
    12 days ago 12d
    Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training… Services customers conducting their own investment trades. Communicate regularly with Investment Services Group team members to ensure…
  • 3.8
    Rincon Consultants, Inc. – Fresno, CA
    Est. Salary $37k-$62k
    1 days ago 14hr
    Environmental Compliance Specialist in our Fresno, CA office. Recognized as a "Best Places to Work" in 2015, we invest in our employees… Environmental Compliance and Biological Resources Assessment Environmental compliance oversight Regulatory compliance monitoring…
  • 3.7
    VHB – South Burlington, VT
    Est. Salary $41k-$69k
    17 days ago 17d
    Environmental Permit Compliance Specialist to lead our growing construction inspection and environmental compliance practice. The… other permitting compliance. The role involves direct field observation and reporting, management of compliance requirements for…
  • Aspiriant – Cincinnati, OH
    6 days ago 6d
    looking for - As a member of the Investment Operations Team, the Investment Operations Specialist is responsible for establishing… Advisor or Portfolio Administrator requests. The Investment Operations Specialist has a significant amount of direct Advisor and…
  • 3.0
    Golden 1 Credit Union – Sacramento, CA
    Est. Salary $40k-$62k
    4 days ago 4d
    day-to-day administration of some phases of the Employee Savings & Investment Plan. TASKS, DUTIES, FUNCTIONS: * Ensure COBRA, section… the day-to-day administration of the Employee Savings and Investment Plan for new hires. * Prepare and conduct new employee benefits…
  • 3.4
    Dignity Health – Rancho Cordova, CA
    Est. Salary $54k-$87k
    Today 10hr
    Complete compliance audits and reviews within established parameters. * As requested by Director or Manager of Compliance, perform… new premier care centers, we provide increasing support and investment in the latest technologies, finest physicians and state-of-the-art…
  • 3.2
    EAH – San Rafael, CA
    Est. Salary $37k-$62k
    6 days ago 6d
    Title Compliance Specialist City San Rafael State CA Description This position is for a full-time Compliance Specialist… out of San Rafael, CA. The Compliance Specialist will monitor regulatory and company policy compliance and provide support at each…
  • 3.7
    Olympus Corporation of the Americas – Miami, FL
    Est. Salary $44k-$72k
    26 days ago 26d
    Government Compliance Specialist is to work directly with the Compliance Officer, Latin American Division ("Compliance Officer LAD… Auto req ID 2322BR Posting Title Government Compliance Specialist Company URL Olympus Corp of the Americas About…
  • 4.4
    JK Moving and Storage – Sterling, VA
    5 days ago 5d
    looking for a career with a great company that is willing to invest in your success, apply today! Equal Opportunity/Affirmative… Move Specialist - Residential Services Location : Virginia…
  • 4.7
    AMEWAS, Inc. – Patuxent River, MD
    17 days ago 17d
    performance, dedication, and longevity. We are committed to investing in our employees and their future by providing them with competitive… classified as AMEWAS labor category, Information Assurance Specialist II. AMEWAS, Inc. participates in E-Verify. AMEWAS Inc…
  • 2.7
    Opus Bank – Denver, CO
    Est. Salary $43k-$71k
    5 days ago 5d
    POSITION We are seeking a business savvy Compliance Specialist to work with our Compliance Team. The ideal candidate must be well… your resume, cover letter and salary expectation with Compliance Specialist as the subject to careers@pensco.com PENSCO Trust…
  • 3.0
    State Street – Irvine, CA
    3 days ago 3d
    above to our clients Maintain records of all risk and compliance documents Review the transactions and reports of peers… transactions to ensure adherence with all established risk and compliance policies Create and update daily desk procedures/job…
  • 3.0
    State Street – Irvine, CA
    2 days ago 2d
    organic client growth. Maintain records of all risk and compliance documents Review the transactions and reports of peers… transactions to ensure adherence with all established risk and compliance policies Create and update daily desk procedures/job…
  • 3.8
    Northwestern Mutual Life Insurance Company – Milwaukee, WI
    9 days ago 9d
    Northwestern Mutual. We're strong, innovative and growing. We invest in our people. We provide opportunities for employees to grow… characteristic protected by law.   Career Value A career in compliance and field supervision creates an opportunity to build and…
  • 3.4
    Citibank – Miami, FL
    Est. Salary $35k-$67k
    11 days ago 11d
    services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth… Regional and Local Product Program guidelines. • Support Investment Finance Transactors in the preparation of Term Sheets, calculation…
  • 3.7
    NOVA Chemicals – United States
    9 days ago 9d
    ODS inventory and ensuring compliance with regulations Complete both internal and regulatory compliance reporting on time and to… a wholly owned subsidiary of The International Petroleum Investment Company (IPIC) of the Emirate of Abu Dhabi. The NOVA Chemicals…
  • 3.5
    Citi – Miami, FL
    Est. Salary $35k-$66k
    11 days ago 11d
    services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth… Regional and Local Product Program guidelines. • Support Investment Finance Transactors in the preparation of Term Sheets, calculation…
Page 1 of 76
Be the first to get new jobs like these: