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Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to manage a team of associates (registrations and licensing professionals and a compliance advisor) who interact with and advises the CBD LOBs on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework.
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Mocade will bring new, innovative capabilities to our digital marketing campaigns,” said Fernando Borghese, Chief Operating Officer of Digital Media Solutions. an industry leader in providing end-to-end customer acquisition solutions that help clients win in their business ventures and realize their marketing goals, announced it acquired Mocade Media LLC, an email marketing firm that delivers engaging content and increases return on investment of email programs.
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Cumberland Advisors seeks to add an experienced Full Stack Developer to work closely with the firm's Chief Innovation Officer. About CumberlandCumberland Advisors is a Registered Investment Advisory and Asset Management firm headquartered in Sarasota, FL with over $3bn in AUM. Founded in 1973, Cumberland Advisors is a dedicated fee-for-service only asset manager utilizing market leading knowledge, analysis, and investment management.
RemoteExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Joining a nimble, entrepreneurial team, the analyst will have extensive exposure to and opportunities to work directly with the firm's Chief Investment Officer and other senior team members.
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Cumberland Advisors is a Registered Investment Advisory and Asset Management firm headquartered in Sarasota, FL with over $3bn in AUM. Founded in 1973, Cumberland Advisors is a dedicated fee-for-service only asset manager utilizing market leading knowledge, analysis, and investment management.
RemoteExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Serves as the Chief Compliance Officer of Bankoh Investment Services, Inc. and administers the brokerage and investment advisory compliance policies and procedures pursuant to the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities rules and regulations.
Full-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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The Compliance Officer – Regulated Funds will drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business development companies) (“Regulated Funds”), with a focus on the Investment Company Act of 1940 (“1940 Act.
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This new hire will work closely with an established team to assist across all asset classes and have a direct line of communication into the firm’s Chief Investment Officer and Chief Executive Officer.
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Reporting directly to the Chief Compliance Officer, you'll play a key role in supporting the compliance efforts of the firm. Investment Management firm seeking a Compliance associate to be an essential part of the Compliance team, actively involved in due diligence processes, ensuring compliance with SEC regulations, and upholding Code of Ethics.
$100,000 - $150,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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This is a high-impact role within an entrepreneurially driven firm, reporting directly to the Chief Marketing Officer. Our goal is to raise the firm's visibility and obtain and retain clients, using our global marketing and communications platform to address all investment strategies, regions, and client channels.
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Prior experience within an asset management, investment management, RIA, or similar financial firm required. Deliver the vision, development, and advancement of our investment management systems with a focus on scalability, efficiency, and differentiation.
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Very well-established global investment mangement firm based in the DC area, is seeking a Senior Compliance Professional to work collaboratively with the Chief Compliance Officer and other members of the Legal and Compliance team.
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Ability to prioritize tasks and communicate effectively with business systems and investment teams. Collaborate with internal investment professionals to determine if new tools and capabilities could make existing workflows more efficient and effective.
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With the support of executive leadership, this position will: Deliver the vision, development, and advancement of our investment management systems with a focus on scalability, efficiency, and differentiation.
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