Mutual Fund Compliance jobs

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Mgr Compliance - Code of Ethics
OppenheimerFunds 9 reviews - Denver, CO
Familiarity with diverse financial products such as mutual funds, separate accounts, retirement and 529 plans....
Sponsored by OppenheimerFunds
SSGM Compliance Director,Vice President
State Street 34 reviews - Boston, MA
Mutual Fund and ETF distribution. Minimum of 7-10 years’ experience in securities compliance and/or legal experience in securities compliance....
Sponsored by State Street
Wealth Management Relationship Manager - San Francisco, CA
Fidelity Investments 1,134 reviews - San Francisco, CA
Accordance with compliance requirements. Prepare prospect and referral letters in accordance with compliance requirements....
Sponsored by Fidelity Investments

Associate Compliance Officer

Russell Investments 22 reviews - Seattle, WA
The Associate Compliance Officer will assist the Chief Compliance Officer and the compliance staff in the ongoing execution of the compliance program for US...

Compliance Examiner

Federated Investors, Inc. - Pittsburgh, PA
Experience with mutual fund or investment advisor compliance preferred; Basic understanding of mutual fund process/regulations (e.g....

Compliance Associate - QDRO's

Transamerica US - Cedar Rapids, IA - +1 location
Legal & Compliance. I&R provides retirement and benefit solutions to employers and their employees and mutual funds and annuities to individual investors....

Compliance Analyst

Boston Partners - Boston, MA 02108(Back Bay-Beacon Hill area)
Provide backup for compliance staff. Perform ongoing investment guideline review and reporting for a variety of equity accounts, including separately managed...
Easily apply

Administrative Assistant Legal & Compliance

Lincoln Financial 35 reviews - Concord, NH
Coordinate foreign account entitlements for mutual fund portfolios. Regulatory notices, compliance and legal interpretations and guidelines....

BlackRock Contract Officer

BlackRock 97 reviews - New York, NY - +1 location
BlackRock helps clients meet their goals and overcome challenges with a range of products that include separate accounts, mutual funds,....

Compliance Consultant

MassMutual Financial Group 191 reviews - Springfield, MA
Corporate Compliance - Compliance Oversight & Reporting. On company policy management, compliance and ethics risk assessments, compliance data analytics, and...

Director of Operations

Cetera Financial Group 5 reviews - Des Moines, IA
O Mutual Funds. § Represents Operations functions in interactions with other areas of the company including IT, Compliance and Internal Audit....

Compliance Officer

Transamerica US - Ontario, CA
Legal & Compliance. Conduct tier two review of proposed new leverage business for both mutual fund and insurance products....

BlackRock Mutual Fund and ETF Compliance, Associate

BlackRock 97 reviews - New York, NY
BlackRock Mutual Fund and ETF Compliance, Associate. This individual would be responsible for handling compliance matters related to registered investment...
Assistant Branch Manager - Park, Ave NYC
Fidelity Investments 1,134 reviews - New York, NY
Strong brokerage/mutual fund knowledge. Assist with the management of operational activities, including full supervision of local risk and compliance issues, if...
Sponsored by Fidelity Investments
Compliance Officer - Asset Management
Drum Associates - New York, NY
Asset management industry experience, including mutual fund business. Aid Chief Compliance Officer and management on compliance and supervisory matters....
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Sponsored by Drum Associates

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Company with Mutual Fund Compliance jobs
OppenheimerFunds, a leader in asset management, is dedicated to providing solutions for its partners and end investors