Investment Compliance Jobs
The investment compliance executive has to conduct pre-trade approval for all trades related to the company clients and trading partners. He has to monitor positions against investment parameters/ restrictions each day. The investment compliance executive analyzes the compliance impact for new security/instrument types. He has to report on investment compliance policies to various internal and external clients and stakeholders so that they are forewarned of what is in store. The investment compliance executive also investigates, escalates, and reports issues to business management. The investment compliance executive establishes and documents compliance processes and procedures for new mandates and managers. He also trains new staff on investment compliance processes to clients and regulators.
The job requirements of the position are:
- Bachelor's degree in any discipline with increased exposure in compliance laws and regulations.
- Experience and knowledge of compliance measures, SOX compliance etc. is required.
The investment compliance executive has to conduct pre-trade approval for all trades related to the company clients and trading partners. He has to monitor positions against investment parameters/ restrictions each day. The investment compliance executive analyzes the compliance impact for new security/instrument types. He has to report on investment compliance policies to various internal and external clients and stakeholders so that they are forewarned of what is in store. The investment compliance executive also investigates, escalates, and reports issues to business management. The investment compliance executive establishes and documents compliance processes and procedures for new mandates and managers. He also trains new staff on investment compliance processes to clients and regulators.
The job requirements of the position are:
- Bachelor's degree in any discipline with increased exposure in compliance laws and regulations.
- Experience and knowledge of compliance measures, SOX compliance etc. is required.
search related to: Investment Compliance Jobs
related jobs
38 matches
| date | location | job title |
| May 18, 12 | |
USA-NY-New York City | |
Head of Registered Investment Advisor Compliance- Investment Advisory
.... Registered Investment Adviser to ensure ongoing compliance with all applicable regulations. Support and direct key initiatives and project work designed to maintain and enhance the investment advisor.... |
|
||||
| May 18, 12 | |
USA-NY-New York City | |
Head of Registered Investment Advisor Compliance
.... Registered Investment Adviser to ensure ongoing compliance with all applicable regulations. Support and direct key initiatives and project work designed to maintain and enhance the investment advisor.... |
|
||||
| May 18, 12 | |
USA-NY-New York City | |
Head of Registered Investment Advisor Compliance- Investment Advisory
.... of Park Avenue Securities’ Registered Investment Adviser to ensure ongoing compliance with all applicable regulations. Support and direct key initiatives and project work designed to maintain and enh.... |
|
||||
| May 10, 12 | |
USA-TX-San Antonio | |
Frost Investment Advisors — Compliance Analyst
.... a Frost Investment Advisors — Compliance Analyst with Frost, you will be responsible for ensuring that Frost Investment Advisors marketing materials are accurate and in compliance with Global Investm.... |
|
||||
| May 18, 12 | |
USA-MA-Boston | |
Compliance Specialist- Investment Manager
.... Management) About our client Our client is a leading Investment Management firm Job description Our client is recruiting for a compliance specialist who will serve as an integral part of the .... |
|
||||
| Bring Order and Structure to Your Compliance Job Search |
|
In an orderly and structured fashion, we consolidate all of the compliance jobs from every professional firm career page, company and organization career page (and every other job site we can find) so you know about all the compliance jobs and can make your important personal career decisions in an objective and rational way. We are a "good citizen" in the compliance community and have high research standards and know you too have high standards for your career. As an unbiased research company with a profound respect for concrete facts and information about job openings, we are loyal to our members and do not accept any money from advertisers for job postings. We give you the tools to follow through and pursue your career options in a stable, practical and down-to-earth manner. |
|
Tell us where to send your access instructions:
|
|
total jobs on EmploymentCrossing |
| 3,507,709 |
|
|
new jobs this week on EmploymentCrossing |
| 766,816 |
|
|
job type count on ComplianceCrossing |
|
Compliance Manager Jobs 1,716 Compliance Specialist Jobs 1,471 Senior-Level Compliance Jobs 1,041 Compliance Analyst Jobs 967 Compliance Officer Jobs 782 Regulatory Compliance Jobs 774 Compliance Consultant Jobs 568 |
| top 5 job searches |
|
| Get your risk FREE trial |
 |
| jobs near you | |
|
International jobs Work at home jobs |
UK jobs Canada jobs |
|
New search feature using US map. click here
Looking for a new compliance job in your city? click here |
|
| Sign Up now | ||||||||||||||||
|
||||||||||||||||
| today's featured job |
|
Compliance Manager
United States-NJ-Clifton EK Success Brands, a division of Wilton Brands Inc. a creative consumer products company has an immediate opportunity for a Compliance Manager. Th... 
|
|
|||||||||
