Mutual Fund Compliance jobs

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Sr. Associate, Compliance (Veteran or Spouse Only)
Workforce Opportunity Services - 11 reviews - El Paso, TX
$11.73 an hour
With operations in the United States, Asia, Europe and Latin America, Prudential provide customers with a variety of products and services, including life...
Chief Financial Officer / Chief Investment Officer
Verdant Frontiers - Austin, TX
Raise funds and execute on Verdant’s next stage of capital markets/investment fund offerings. Fund structure, raising capital and portfolio management....
Easily apply
Trust Officer
Citi - 10,516 reviews - Sioux Falls, SD
Compliance with legal requirements and internal procedures in relation to account activity:. Initiate investment management of the accounts by coordinating with...

Compliance Officer

Angel Oak Capital Advisors - Atlanta, GA 30305 (Buckhead area)
The Compliance Officer will assist the Chief Compliance Officer in developing, monitoring and testing the firm’s compliance program to ensure continuous...
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Compliance Officer - Retirement Firm - Murray, UT

Advisor Employee Services - Murray, UT 84121
7-10 years of compliance experience with an investment advisor or mutual fund firm. Leads the annual regulatory compliance risk assessment process within the...
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Compliance Officer

Essex Securities - Danvers, MA 01923
5+ years of progressively more responsible experience in financial services compliance, with a particular focus on mutual fund/investment adviser compliance....
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Senior Manager - Compliance

Charles Schwab - 591 reviews - Boston, MA 02212 (Central area)
This support includes administering the CSIM and Schwab Funds regulatory compliance program. Compliance 11 and/or iTrade....

Compliance Manager

Prudential - 1,270 reviews - Newark, NJ
Work on regulatory compliance projects and initiatives (PFI and PII Compliance), and advise on compliance matters....

Compliance Specialist

NorthStar Financial Services Group, LLC - 3 reviews - United States
Experience working in a mutual fund or a mutual fund service provider. Compliance-related advertising questions, mutual fund disclosure....

Analyst, Fund Officer and Compliance Services

Foreside Financial - Gahanna, OH
The Analyst will play a critical and highly visible role in Foreside Services Inc’s Fund Officer and Compliance Services group....
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Compliance Analyst

Prudential - 1,270 reviews - Newark, NJ
Minimum of 4 years working in an Asset Management, Investment Advisor, or Mutual Fund Compliance Department, preferably within the Investment Guideline...

Compliance Analyst

Primerica - 1,679 reviews - Duluth, GA
Primerica representatives provide appropriate solutions through term life insurance, mutual funds, annuities and other financial products....

Senior Compliance Advisor - Capital Markets

Fidelity Investments - 1,795 reviews - Boston, MA
FI Capital Markets Compliance is part of the FI Compliance Department. Senior Compliance Advisor - Capital Markets....
Call Center Representative
The Village Bank - 3 reviews - Nonantum, MA
Advanced banking knowledge of products, compliance and regulations through previous call center or retail banking environment experience of 1+ years....
Compliance Analyst
Prudential - 1,270 reviews - Newark, NJ 07102
Minimum of 4 years working in an Asset Management, Investment Advisor, or Mutual Fund Compliance Department, preferably within the Investment Guideline...

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