Mutual Fund Compliance jobs

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Admin Manager, Merrill Edge Supervision and Control
Monitor and review client accounts for potential risk with regard to mutual fund trading, concentrated positions, and margin usage....
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Compliance Consultant 2
Wells Fargo - 13,792 reviews - San Francisco, CA
Wells Fargo Funds is the 15th largest mutual fund company, in the U.S. This position resides within the Compliance department and is responsible for compliance...
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Investment Advisers Act of 1940 ONLY (5+ years)
Omega Global Partners - New York, NY
The demand for our compliance services is growing from our registered investment adviser clients, (hedge funds, private equity, venture capital, mutual funds...
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Registered Funds Operational Compliance Associate

BlackRock - New York, NY 10022 (Midtown area)
;Assist in development of compliance program covering mutual funds, closed end funds and ETFs (iShares). This individual would be responsible for handling...
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Healthcare Compliance Specialist

Sodexo - 6,559 reviews - California
Our research platform helps investors - including some of the world's largest hedge funds, money managers, mutual funds, private equity groups, and risk...
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Compliance Officer

Brown Advisory - 5 reviews - Baltimore, MD
Performing mutual fund compliance reviews and oversight. Other general compliance roles and responsibilities....

Sr Compliance Manager

IFS Financial Services, Inc. - Cincinnati, OH 45202 (Mount Adams area)
Senior Compliance Manager. Serves as subject matter expert on social media compliance issues for the Compliance Department....

Regulatory Compliance Analyst

DST Systems - 109 reviews - Denver, CO
Experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent....

Analyst, Regulatory Supervision

Prudential - 958 reviews - Hartford, CT
Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset...

Compliance Analyst

Primerica - 1,260 reviews - Duluth, GA
Primerica representatives provide appropriate solutions through term life insurance, mutual funds, annuities and other financial products....

Chief Compliance Officer, Mutual Funds

Valic - 888 reviews - Houston, TX
AIG has an opportunity for a Chief Compliance Officer, Mutual Funds in Houston, TX. The Chief Compliance Officer for Mutual Funds reports directly to the Chief...

Compliance Auditor

John Hancock - 148 reviews - Boston, MA
3-5 years of auditing, compliance, portfolio accounting or other relevant regulatory or mutual fund experience. IMS Fund Administration....

Compliance Consultant

The Hartford Financial Services - 778 reviews - Radnor, PA
A minimum of 3-5 years compliance and/or legal experience with expertise in investment adviser or mutual fund compliance....
Fund Administration Manager, Assistant Vice President
Six or more years of experience in mutual funds accounting, compliance, auditing or related business activity. Strong financial reporting, regulatory compliance...
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Manager, Compliance
Prudential - 958 reviews - Newark, NJ
Knowledge of mutual funds and ETFs; Prudential Investments LLC's ("Prudential Investments" or "PI") compliance department is seeking an experienced compliance...
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