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Mutual Fund Compliance Manager jobs

Viewing 1 - 10 of 3,978 jobs

  • Assistant Branch Manager - Congress St

    Fidelity Investments - Boston, MA

    including full supervision of local risk and compliance issues, if a Branch Service Manager is not in place. ... 9/10 required within 60 days of hire Strong brokerage/mutual fund knowledge Proven time-management skills Strong...

    6 days ago from Fidelity Investments

  • Commodity Trading & Risk Management Energy and Resources Manager

    Deloitte Development - Temple City, CA

    insurance, hedge fund, private equity, and mutual fund organizations. Our cross-functional team includes more ... investment managers, compliance officers, credit managers, regulators, middle-office specialists, operations...

    1 day ago from Deloitte Development LLC

  • Branch Manager Cupertino CA (105039)

    TD Ameritrade - Cupertino, CA

    Type: Full-Time Contract Type: Regular Manager Level: Manager Role: The Branch Manager is a highly motivated ... who provide investors with a broad range of brokerage, mutual fund, and consumer financial products and services on...

    15 days ago from TD Ameritrade

  • Field Audit Branch Examiner

    Primerica - Pennsylvania

    audits and visits Coordinates potential high risk compliance issues with Business Control Manager or Vice ... appropriate solutions through term life insurance, mutual funds, annuities and other financial products. We...

    2 days ago from Primerica

  • Client Relationship Manager - Miami, FL - International Office

    Bank of America - Miami, FL

    Responds to and resolves complaints, working with Litigation or Compliance personnel, regarding operations/services rece ... Client Relationship Manager program and/ or currently hold Merrill Lynch Complex Client Relationship Manager...

    3 days ago from Bank of America

  • Mid-level Investment Management Attorney with corporate experience

    BCG Attorney Search - Washington, DC

    is essential. Familiarity with the day-to-day operations of mutual funds, investment advisers, and related service ... is needed. Experience with ETFs a plus. Experience with compliance issues facing investment companies and investment...

    21 days ago from BCG Attorney Search

  • Senior Auditor

    Primerica - Duluth, GA

    standards. The position will assist in identifying risks in compliance with corporate standards and regulatory ... appropriate solutions through term life insurance, mutual funds, annuities and other financial products. We...

    24 days ago from Primerica

  • Compliance Alternative, Director

    Compliance Search Group - New York City, NY

    S/he will ideally possess extensive experience in securities compliance with a mutual fund and/or investment advisory wi ... Qualifications: • Minimum of 5 years of experience in securities compliance with a mutual fund and/or investment adviser...

    2 days ago from eFinancial Careers

  • Compliance Analyst, Advertising & Marketing Review

    Compliance Search Group - Los Angeles, CA

    related communications for investment adviser, open-end mutual funds and closed-end mutual funds. • Communications to ... adviser, open-end mutual funds and closed-end mutual funds. • Assist in developing and updating compliance...

    30+ days ago from The Ladders

  • Assistant Division Service Manager – Commercial Insurance

    Liberty Mutual - Bala Cynwyd, PA

    Commercial and National Insurance. Assist Division Service Manager in the recruitment, hiring, training and development ... Assists Division Service Manager in evaluating workflow processes to determine effectiveness and compliance...

    30+ days ago from liberty Mutual Insurance