Jobs by Simply Hired

Search for Jobs

Job Title, Skills, or Company

City, State, or ZIP

Sec Ria jobs

Viewing 1 - 10 of 132 jobs

  • Asset Wealth Management - RIA Surveillance Officer

    Deutsche Bank - US - Jacksonville, FL

    fiduciary manner. The Regulatory Investment Advisory (RIA) group anticipates, recognizes and mitigates risks involving ... Weekly, Monthly, Quarterly surveillance review of RIA accounts activity including- trades, journals, portfolio...

    30+ days ago from eFinancial Careers

  • Chief Compliance Officer RIA, Mutual Funds (Staffing And Recruiting Company)

    Compliance Search - New York City, NY

    CFA or CFP is a plus 7- 10 years experience dealing with SEC regulation of Registered Investment Advisors Bachelor s ... ADV-2A at least annually Take a leading role in periodic SEC audits Conduct internal compliance training sessions...

    30+ days ago from Doostang

  • Compliance Analyst Sr/RIA-BD

    Kansas City, MO

    Preferred Requirements -Examination experience with the SEC or FINRA Minimum Knowledge and Skills -Demonstrates ... regulations -Demonstrates extensive knowledge of SEC and FINRA laws and regulations -Demonstrates proficiency...

    5 days ago from IvyExec

  • Registered Investment Advisor (RIA)

    Capital Cove - Newport Beach, CA

    Job Description: Registered Investment Advisor (RIA) RIA Services, Division Head Capital Cove – Based in Newport Beach, ... investors *Have a strong familiarity with FINRA/SEC regulations and industry best practices regarding document...

    6 days ago from ZipRecruiter

  • Compliance Analyst-RIA

    UMB Bank - Kansas City, MO

    MO. Duties and Responsibilities The Compliance Analyst-RIA (Analyst) will assist with the ongoing administration of ... or broker-dealer -Demonstrates extensive knowledge of SEC and FINRA laws and regulations -Demonstrates proficiency...

    12 hours ago from UMB Bank

  • Compliance Officer - RIA

    Bachrach Group - New York City, NY

    $3bn in capital and has established a 1940 Act governed RIA that will allow them to self-market their funds and ... an RIA, fund or bank compliance environment- Knowledge of SEC regulatory compliance requirements, procedures and...

    30+ days ago from The Bachrach Group

  • Asset Wealth Management - RIA Surveillance Officer (00831122)

    Deutsche Bank - US - Jacksonville, FL

    fiduciary manner. The Regulatory Investment Advisory (RIA) group anticipates, recognizes and mitigates risks involving ... Weekly, Monthly, Quarterly surveillance review of RIA accounts activity including- trades, journals, portfolio...

    15 days ago from eFinancialCareers Ltd

  • Chief Compliance Officer - RIA, Mutual Funds

    Compliance Search International - Boston, MA

    ADV-2A at least annually Take a leading role in periodic SEC audits Conduct internal compliance training sessions ... JD Degree. 7- 10 years' experience dealing with SEC regulation of Registered Investment Advisors Bachelor's...

    30+ days ago from Compliance Search Group

  • RIA Operations Team Lead

    Transamerica - Saint Petersburg, FL

    * Conducts the new hire, annual review & goals, coaching & training/development of RIA Ops Analyst (I, II & III) ... Assists Compliance and Legal in review and research of SEC regulatory issues. * Responsible for providing stat’s...

    30+ days ago from Transamerica

  • Fund Controller & Reporting Manager!

    Chase Professionals - Dallas, TX

    legal and outside Compliance consultants on Dodd Frank SEC RIA matters. Maintenance of Fund and Division return track records. Assistance with division executive Comp Plan calculations. Handle accounting and cash management for alternative...

    19 days ago from Startwire

Post a Job on BusinessWeek.com

Post a Job

Reach millions of talented professionals