chief compliance officer - ria (registered investment advisor) Jobs - 278


Larson Maddox - New York,NY

A leading investment firm specialized in secondary markets is seeking a Compliance Director to join their legal and compliance team. This exciting role offers the opportunity to work closely with the Chief Operating Officer, Legal Counsel, and...

Date : 2025-01-03T14:25:21Z

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MP: Wired for HR - New York,NY

JOB SUMMARY: Financial Advisor - New York City We are offering a highly accomplished financial planner professional an opportunity to develop new business and be a critical contributor on our financial planning...

Date : 2025-01-06T04:12:32Z

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Cardea Group - New York,NY

Compliance Professional (New York, NY): Our client, a prominent private equity and private credit fund with over $100B in AUM, is looking for a driven Compliance Professional to join their dynamic, collaborative team. This is a...

Date : 2025-01-06T04:12:18Z

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Procyon Partners - Melville,NY

Procyon Partners – Relationship Manager/Financial Advisor – Hybrid Overview: Procyon is a growing RIA seeking an additional experienced relationship manager to provide primary client coverage...

Date : 2025-01-03T14:25:25Z

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Rockefeller Philanthropy Advisors - New York,NY

Title: Chief Financial Officer Reporting To: Executive Vice President, Enterprise Strategy and Performance Location: New York, NY, Chicago, IL or San Francisco, CA – Hybrid Rockefeller Philanthropy Advisors (RPA) is...

Date : 2025-01-03T14:25:02Z

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Capital One Careers - New York,NY

NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will...

Date : 2025-01-07T01:32:56Z

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University of Buffalo - Buffalo,NY

Fiscal Year 2024-2025 Position Title Unit Business Officer, CIO Classification Title Senior Staff Associate Department CIO Finance Posting Number P240402 Posting Link Employer State Position Type Professional Appointment Term Term Salary Grade...

Date : 2025-01-03T08:21:39Z

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Bessemer Trust Company - New York,NY

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. Reporting directly to the Director of Investment Management Compliance (and Chief Compliance Officer of our mutual funds and registered investment...

Date : 2025-01-06T03:42:02Z

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M&T Bank - Hauppauge,NY

Overview: Accountable for a revenue goal met through the acquisition of new clients from internal and external sources, and the retention and expansion of a book of business. Consults and coordinates on the delivery of solutions for a...

Date : 2025-01-01T07:02:08Z

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American International Group - New York,NY

Position Summary: AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers The Investments Compliance team provides compliance and...

Date : 2025-01-02T08:12:43Z

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