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Mutual Fund Compliance Manager jobs

Viewing 1 - 10 of 5,832 jobs

  • Mutual Funds Inside Wholesaler

    Ameriprise Financial - Boston, MA

    * Complete required coursework in order to maintain compliance with state and federal regulations and licensure. * Travel to territory to conduct one-on-one FA meetings and/or to deliver group presentations. * This is a sales position with...

    8 days ago from A Mighty River

  • Chief Compliance Officer Mutual Fund (00815690)

    Michael Page International - US - New York City, NY

    Search Results * Next * Previous Chief Compliance Officer Mutual Fund * Salary: 175,000-300,000 * Location: New York, ... Bank * Senior Compliance officer- Investment Manager * Monitoring and Surveillance Compliance Officer See more...

    3 days ago from eFinancialCareers Ltd

  • Investment Management - Mutual Funds Compliance

    Compliance Search Group - New York City, NY

    Investment Management- Mutual Funds Compliance An Investment Management Firm seeks a highly motivated and organized ... including mutual fund business preferred • FINRA Series 7 required, 24 and 63 preferable • Knowledge of...

    30+ days ago from TheLadders.com

  • Asset Management Compliance Officer

    Compliance Search - Chicago, IL

    Compliance Officer, external fund counsel and external fund service providers on mutual fund filings, compliance ... compliance reports Periodic participation in mutual fund board meetings, internal compliance meetings and...

    30+ days ago from Doostang

  • Head of Mutual Fund and Variable Annuities Advisor Group

    Atlanta, GA

    oversee the development of a variable annuity and mutual fund sales business plan for AIG Advisor Group that aligns ... with developing sales plans for variable annuities and mutual funds.o Maintains a monthly to quarterly Game Plan of...

    1 day ago from IvyExec

  • Investment Management Compliance Testing Analyst

    Morgan Stanley - Finance Industry - New York City, NY

    to the CCO, senior management and registered mutual funds’ Board. · Track status of corrective action plans agreed ... · Assist in coordinating the compliance component of the SSAE 16 review and other Qualifications - BA/BS required with a...

    2 days ago from VelvetJobs

  • Sr. Investment Compliance Analyst - Manulife Asset Management

    John Hancock Financial Services - Boston, MA

    Analyst’s work. Assist Compliance Supervisor and Manager with special projects and initiatives. Communicate and ... adviser/mutual fund industry (i.e., compliance monitoring, fund accounting/administration, risk management, security...

    6 days ago from RetirementJobs.com

  • Marketing Manager-Mutual Funds

    Confidential - Boston, MA

    processes to facilitate marketing campaigns such as compliance review, material creation and quality ... marketing manager or account management role. Experience in mutual fund industry, both retail and institutional...

    20 days ago from ZipRecruiter

  • Mutual Fund Accountant- Leading hedge Fund (00819522)

    National Recruiting Group - Greenwich, CT

    * Next * Previous Mutual Fund Accountant- Leading hedge Fund * Salary: Circa $90K base plus bonus * Location: ... hedge fund with a global footprint is seeking an experience mutual fund accountant to join their team. This is an...

    3 days ago from eFinancialCareers Ltd

  • Asset Management Mutual Fund Compliance

    Compliance Search Group - Philadelphia, PA

    He/She will report to the Manager, Portfolio Compliance and will support the goals of the portfolio compliance team as d ... actively support the Manager - Portfolio Compliance in achieving departmental goals and responsibilities. • Contribute...

    30+ days ago from TheLadders.com

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