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Investment Compliance jobs

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DIRECTOR, TRUST & INVESTMENT MANAGEMENT COMPLIANCE

Research, analyze, interpret, and effectively apply trust-related laws and regulations, keeping up to date on emerging issues and topics. Verify compliance with related fiduciary requirements through reviews and tests of operation...

CompanyFirst Western Trust
AddressDenver, CO
CategorySales/marketing
Job typeFull-time, Part-time
Date Posted 4 days ago See detail

Director, Trust & Investment Management Compliance

First Western Trust

Denver, CO

Research, analyze, interpret, and effectively apply trust-related laws and regulations, keeping up to date on emerging issues and topics. Verify compliance with related fiduciary requirements through reviews and tests of operation...

4 days ago seen See more...

Sr. Manager, Investment Compliance

Aon Corporation

Chicago, IL

Manage the compliance aspects of AIUSAs marketing / sales oversight program, including the review of marketing materials and RFI / RFP documents, liaising with the business and monitoring / testing of marketing / sales related to...

a month ago seen See more...

Senior Compliance Associate, Investment Guidelines

Lord Abbett.com

Jersey City, NJ

$150,000 - $200,000 a year

Review and interpret Investment Guidelines: The Senior Compliance Associate will be responsible for reviewing and interpreting Investment Guidelines, restrictions, and regulations. This may include reviewing client investment mana...

4 weeks ago seen See more...

Capital Investment NMTC Compliance & Loan Closing Manager

Primary Care Development Corporation

Remote

$105,000 - $115,000 a year

Oversee all aspects of NMTC compliance, including supporting initial NMTC eligibility and compliance tests for transactions, ensuring ongoing compliance throughout the seven-year compliance period and through the unwind in accorda...

4 weeks ago seen See more...

Associated Investment Services - Product and Compliance Specialist (Remote within Footprint)

Associated Bank

Green Bay, WI

$65.4K - $82.8K a year

Analyze and conduct suitability review of new business and other transaction of the broker/dealer requiring review and approval from a licensed General Securities Principal. Ensure proper documentation exists and the investment is...

a month ago seen See more...

Investment Management Attorney and Chief Compliance Officer

U.s. Bank

Milwaukee, WI

Maintaining the Trust's compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance;. Compliance ove...

a month ago seen See more...

Investment Management Attorney and Chief Compliance Officer

U.s. Bank National Association

Milwaukee, WI

Maintaining the Trust's compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance;. Compliance ove...

a month ago seen See more...

Investment Management Attorney and Chief Compliance Officer

U.s. Bank National Association

Chicago, IL

$123,165 - $159,390 a year

Maintaining the Trusts compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance;. Compliance ove...

a month ago seen See more...

Director, Compliance Sanctions Advisory – Investment Banking and Deal Advisory (Hybrid)

Citi

New York, NY

$170,000 - $300,000 a year

Designing, developing, delivering, and maintaining best-in-class Sanctions Compliance policies and practices, providing a mechanism for identifying key sanctions risks and how the mitigation of those risks would be monitored and m...

a month ago seen See more...

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What companies are hiring for Investment Compliance jobs?

The top companies hiring now for Investment Compliance jobs are Aflac, Incorporated, Aflac, Incorporated,

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