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Sec Ria jobs

Viewing 1 - 10 of 150 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

  • Compliance Officer - RIA

    Investment Advisory Firm - Manhattan, NY

    Oversight of market material and appropriate disclosures The ideal candidate will possess: - At least five years experience in an RIA, fund or bank compliance environment - Knowledge of SEC regulatory compliance requirements, procedures...

    26 days ago from IvyExec

  • 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...

    30+ days ago from Professional Diversity Network

  • Compliance Officer – RIA

    J.D. Mellberg Financial - Tucson, AZ

    Job Description • Conduct RIA compliance audits. • Develop and execute a compliance monitoring, testing and surveillance ... As an independent SEC registered investment adviser, we are dedicated to personalized service with uncompromising...

    4 days ago from J.D. Mellberg Financial

  • In-House Attorney RIA and Funds - PT/FT

    Hall Capital Partners - San Francisco, CA

    In-House Attorney RIA and Funds – PT/FT The attorney will provide legal services to an SEC-registered investment adviser ... draft documents and advise on issues relating to SEC-registered investment advisers; • Analyze, draft documents...

    6 days ago from Hall Capital Partners LLC

  • Compliance Officer - RIA

    Bachrach Group - New York, 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

  • 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

  • In-House Attorney RIA and Funds (Part-Time/Full-Time)

    Hall Capital Partners - San Francisco, CA

    The attorney will provide legal services to an SEC-registered investment adviser which also sponsors private funds. The ... Analyze, draft documents and advise on issues relating to SEC-registered investment advisers; Analyze, draft documents...

    11 days ago from American Bar Association

  • 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...

    14 days ago from IvyExec

  • 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

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