Mutual Fund Compliance jobs

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Senior Compliance Associate
Moody's 6 reviews - New York, NY
Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists....
Sponsored by eFinancialCareers - 12 days ago
Senior Manager, Business Compliance
Matthews International Capital Management, LLC - San Francisco, CA
Highly organized, detail oriented, self-motivated, capable of monitoring and completing a variety of projects simultaneously, ability to keep abreast of...
Sponsored by eFinancialCareers - 6 days ago
Chief Compliance Officer
FTJ FundChoice, LLC - Hebron, KY
Familiar with mutual fund and ETF products. The CCO will have hands-on responsibility for all day-to-day compliance matters, as well as directing the compliance...
Sponsored by FTJ FundChoice, LLC - 30+ days ago

Senior Compliance Officer Retail Investment Products

Citi 2,422 reviews - Fort Mill, SC
Compliance and Control. This position provides compliance advisory support, regulatory guidance, and establishes the compliance framework for retail product...

Advertising Compliance Analyst

First Investors 91 reviews - New York, NY
Knowledge of broker-dealer and investment adviser advertising rules relating to mutual funds, variable products, etc.;...

Mgr Compliance - Code of Ethics

OppenheimerFunds 7 reviews - Denver, CO
Familiarity with diverse financial products such as mutual funds, separate accounts, retirement and 529 plans....

Compliance Analyst

Natixis Global Asset Management 4 reviews - Boston, MA
Review mutual fund and separate account marketing materials. Minimum 2 years of compliance or comparable experience....

BlackRock Americas Financial Crime, Vice President

BlackRock 90 reviews - New York, NY - +1 location
Rock helps clients meet their goals and overcome challenges with a range of products that include separate accounts, mutual funds,....

Compliance Associate

TIAA-CREF 212 reviews - Denver, CO 80221
Experienced with broker-dealer trading activities, including variable and fixed annuities, IRA rollovers and mutual fund transactions is preferred....

Trade Specialist

AIG 455 reviews - Houston, TX
Under the guidance of the Department Supervisor, performs research and suitability review of Annuities, Direct Mutual Funds, Brokerage Accounts, Investment...

Compliance Analyst

Prudential 702 reviews - Newark, NJ
Deliver compliance training; Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services,...

Investment OSJ/Compliance

Bremer Bank 18 reviews - Lake Elmo, MN
Review and approval of new account applications, checks and securities deposits, funds disbursements, advertising, etc. Serve as the primary point of contact...

Senior Compliance Officer

Invesco 62 reviews - Downers Grove, IL - +1 location
Knowledge of securities regulation, as it relates to operations within the advisory compliance (mutual funds or institutional) industry preferred....
Wealth Management Relationship Manager - San Francisco, CA
Fidelity Investments 1,070 reviews - San Francisco, CA
Accordance with compliance requirements. Prepare prospect and referral letters in accordance with compliance requirements....
Sponsored by Fidelity Investments - 15 days ago
BNP Paribas Investment Partners 8 reviews - New York, NY
As a member of the Compliance team, the Senior Compliance Officer will be responsible for various regulatory compliance matters....
Sponsored by eFinancialCareers - 1 day ago

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Company with Mutual Fund Compliance jobs
1,070 reviews
See how far you can go in your career. Fidelity offers a diversity of opportunities for a variety of skill sets and experience levels.