Regulatory Manager- Mutual Funds jobs

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May 20 Compliance Officer - Adviser / Fund Compliance Search Group Philadelphia, PA

specialized compliance exams based on regulatory requirements, firm policies, ... the securities industry and the applicable regulatory requirements Knowledge and... more

May 20 Regulatory Compliance Analyst Affiliated Computer Services Boston, MA

Compliance Analyst reports to the Manager Regulatory Compliance and is primarily ... Seeking someone with 5 to 10 years of Regulatory Compliance experience that... more

May 14 Compliance Counsel Asset Management / Hedge Fund Financial Services Company New York, NY

institutional money management, mutual funds, hedge funds and alternative ... and enhancing policies and procedures; regulatory interactions; oversight of... more

May 02 Mutual Fund Fellow U.S. Securities and Exchange Commission New York

Identify areas involving mutual funds/investment companies that merit special evaluation b ... JOB QUALIFICATIONS: * Must have expert-level experience with mutual funds/investment compa... more

Apr 25 Quality Control Portfolio Manager I Bank of Oklahoma Tulsa, OK

current trends in portfolio management and regulatory compliance. Keeps informed of ... taxable bonds, tax free bonds, mutual funds, and international stocks * Knowledge... more

Apr 22 Director of Regulatory & Economic Capital Analyses and Reporting Financial Services Company New York, NY

regulatory and economic capital limits Regulatory capital filings - build customized ... regulatory environment Strong knowledge of regulatory and economic capital management... more

Feb 28 Mutual Fund Attorney - Sales - Other job BlackRock New York, NY

including separate accounts, mutual funds, iShares (R) (exchange traded funds), ... funds, including the iShares exchange traded funds, and asset management services. The... more

More Job Postings from the Web
May 30 Investment Advisory Attorney Mutual Funds Meridian Legal Search New York

Successful, prestigious, established mutual fund company seeks candidates with 4+, ... which include: mutual funds; sub-advised funds; separately managed accounts; and... more

May 30 AVP, Regulatory Matters / AML Others Fetch, We Deliver! New York, NY

Regulation and Regulatory background to Funds Industry Comprehensive knowledge of ... Dealers, Fund Administration, Hedge Funds, Mutual Funds, Private Banking, Private Equity... more

May 30 Advisory Services Senior - Financial Services Office - Performance Improvement - Asset Management Ernst & Young Charlotte, NC

several of the following focus areas: * Mutual funds, institutional separately ... exchange traded funds (ETFs) * Hedge funds, private equity, real estate and asset... more

May 30 Counsel-Mutual Funds Attorney Meridian Legal Search New York, NY

Type: - Senior Attorney Counsel-Mutual Funds Attorney Successful, established ... legal support for all NY-based registered funds, sub-advisory relationships and other... more

May 29 Project Manager - Regulatory Reporting Others Fetch, We Deliver! New York, NY

Candidate to handle a Project Manager - Regulatory Reporting role. Work on projects ... Broker Dealers, Fund Administration, Hedge Funds, Mutual Funds, Private Banking, Private... more

May 29 Retirement Fund Client Services Analyst People Place Nashville, TN

in solving complex, quantitative, and regulatory issues for clients. Advising on ... required Familiarity with retirement funds/services such as (401(k), 401(m), 416,... more

May 29 Project Manager - Regulatory Reporting Othersfetchwedeliver! New York, NY

Candidate to handle a Project Manager - Regulatory Reporting role. Work on projects ... Broker Dealers, Fund Administration, Hedge Funds, Mutual Funds, Private Banking, Private... more

May 29 Advertising Compliance Manager Recruitarrow La Jolla, CA

materials to ensure compliance with all regulatory requirements Interacting ... frequently with the Principal Underwriter of mutual funds advised by Altegris, and... more

May 28 Sr Manager, Regulatory Affairs CMC Req #8683 Gilead Foster City, CA

the preparation of technically complex regulatory CMC submissions which require ... commercial applications. Provides strategic regulatory advice as appropriate. Maintains... more

May 27 VP, Mutual Fund Financial Reporting JPMorgan Chase Massachusetts

accurate creation of financial statements, regulatory reports, and fund distributions. ... standards Minimum of 15 years in the mutual funds industry, with a minimum of 5 -... more

May 26 Compliance Manager / Officer I Job Ameriprise Boston, MA

Responsibilities The compliance manager will ensure that communications satisfy regulatory ... mutual funds, hedge funds, closed-end funds, collective trusts, retirement... more

May 25 Compliance Officer, Mutual Funds Compliance Tiaa Cref Charlotte, NC

Compliance Officer, Mutual Funds Compliance This position primarily supports the Mutual ... 5 to 10 years mutual fund accounting and/or mutual fund financial reporting experience A m... more

May 25 Compliance Officer - Mutual Funds Tiaa-cref Charlotte, NC

institutions Compliance Officer, Mutual Funds Compliance (Charlotte, NC or New ... years of mutual fund and investment adviser regulatory compliance experience (primarily... more

May 25 Director of Fundraising, OneSight Luxottica Mason, OH

non-profits are followed. A Assist Finance Manager with OneSight annual budget ... organizations: board governance, tax, legal, regulatory, reporting/disclosure issues -... more

May 25 Customer Processing Associate-Mutual Fund Omnibus Job BNY Mellon Lake Mary, FL

regulations and Pershing policies, ensuring regulatory compliance and minimizing exposure ... Product knowledge, knowledge of federal regulatory guidelines, and Pershing policies. more

May 24 Mutual Fund Compliance Officer SEI Investments Oaks, PA

and Advisers Inner Circle Trust of mutual funds and their service providers. These ... $100 billion in assets, including over 150 mutual funds with varying investment... more

May 24 Mutual Fund Compliance Officer SEI Oaks, PA

and Advisers Inner Circle Trust of mutual funds and their service providers. These ... billion in assets, including over 150 mutual funds with varying investment strategies... more

May 24 Regulatory and Compliance Counsel Fortress Investment Group New York, NY

obligations of investment advisers, regulatory requirements of registered ... hedge funds, credit funds, private equity funds, publicly-traded real estate investment... more

May 21 Manager, Corporate Governance Prudential Newark, NJ

products such as managed accounts, mutual funds, annuities and life insurance. A core ... annuities, retirement-related services, mutual funds, asset management, and real... more

May 21 Director, Managed Solutions Group Business Governance Bank of America Pennington, NJ

and other areas that arise from the regulatory framework changes, corporate audit ... include mutual funds, ETFs, offshore mutual funds, non-U.S. aspects of investment... more

May 21 GWM Internal Audit Manager-NYC Morgan Stanley New York, NY

The Manager responsibilities include the following key processes /duties: - Involvement in ... with experience in areas such as mutual funds, ETFs, Insurance/Annuities,... more

May 21 Client Relationship Manager- Orlando Boa Winter Park, FL

The CRM manages the branch's Operations Department where responsibilities include Funds/Se ... Annuities, Tax, Retirement Plans, Money Funds, Mutual Funds, Liabilities, Margin,... more

May 20 Senior Director of Fund Operations - Retirement Services Job ADP Florham Park, NJ

Potential liability is also driven by legal/regulatory requirements imposed by the IRS, ... financial service operations including: Mutual Fund Accounting, Custody, Banking, and... more

May 18 Fund Operations Analyst Insperity Kingwood, TX

compares, and reports data as it pertains to mutual funds in qualified retirement plans ... and regulatory requests as they pertain to mutual fund operations within qualified... more

May 18 Vested Interest Relationship Manager - Retirement Services PNC Philadelphia, PA

commercial banking, asset management, and funds processing. Our branches are ... principles associated with analyzing mutual funds and their appropriateness in retirement... more

May 17 Audit Manager, Investment Management / Asset Management State Street Boston, MA

Audit Manager, Investment Management / Asset Management * The Audit Manager oversees audit ... experience, Asset Management, Mutual Funds, Institutional Investment, Private... more

May 16 Branch Manager HSBC Holdings America, IL

and system controls in accordance with HSBC regulatory standards and government ... Funds in Canada Course; Canadian Investment Funds Course; or Canadian Securities Course;... more

May 16 Operations Specialist - Account Maintenance/Mutual Funds JPMorgan Chase Columbus, OH

Title: Operations Specialist - Account Maintenance/Mutual Funds, Columbus, OH Location: US ... to understanding brokerage paperwork and regulatory requirements for approximately 20... more

May 16 Operations Specialist - Account Maintenance/Mutual Funds, Columbus JPMorgan Chase Ohio

Operations Specialist - Account Maintenance/Mutual Funds, Columbus, OH-120034160 Job Descr ... to understanding brokerage paperwork and regulatory requirements for approximately 20... more

May 15 Program Manager - Change and Release Management Job Hanover Insurance Worcester, MA

with Hanovers safety standards and regulatory agencies (OSHA). ... - Thorough knowledge of Enterprise Change Management/ Release manager functions and roles... more

May 15 Fund Accounting Manager Fidelity Investments Westlake, TX

NH, and Westlake, TX. The Fund Accounting Manager will manage resources, process, and ... Investments, visit www.fidelity.com. Job : Mutual Fund Accounting Primary Location :... more

May 14 In-House - 40 Act/Mutual Funds/Investment Advisory Attorney McCormack Schreiber Legal Search Milwaukee, WI

with strong investment management or mutual fund advisory experience for positions ... should have significant experience analyzing regulatory, investment and trading issues;... more

May 14 Fund Board Legal Services Assistant Franklin Templeton Investments-franklin Resources San Mateo, CA

U.S. Franklin, Templeton, and Mutual Series Funds. This position works with ... meet changing business needs and regulatory requirements. JOB... more

May 14 Unit Manager Fund Accounting Fidelity Investments Westlake, TX

succession planning. Additionally, the Unit Manager provides leadership and support ... Investments, visit www.fidelity.com. Job : Mutual Fund Accounting Primary Location :... more

May 14 Compliance Manager-Institutional Relationships Genworth Financial San Diego, CA

through alternative mutual funds, private funds, and futures managed accounts. Our ... and Marketing departments, the Compliance Manager - Institutional Relationships will... more

May 12 Regulatory Compliance Analyst Abigail Consulting Solutions Boston, MA

Compliance Analyst reports to the Manager Regulatory Compliance and is primarily ... of Global Compliance & ORM to drive new regulatory compliance initiatives and... more

May 12 Senior Manager, Regulatory Affairs - Advertising and Promotion Gilead Foster City, CA

(if applicable). The Senior Manager in Regulatory Affairs, Advertising and ... Manager is responsible for assisting the Regulatory Affairs Advertising and Promotions... more

May 09 Mutual Fund Reporting Associate Legg Mason & Co Stamford, CT

to: Support the Mutual Fund Reporting Manager in managing Legg Mason's US mutual ... fund reporting requirements Support the Mutual Fund Reporting Manager in the... more

May 09 Director, Mutual Fund Sales and Marketing Technology Hartford Financial Services Group Radnor, PA

Based in Radnor, PA, the Director of Mutual Funds Sales and Marketing Technology ... and compliance with all security and regulatory requirements, Qualifications... more

May 07 Senior Associate, Federal Tax- Funds Job KPMG New York, NY

Title: Senior Associate, Federal Tax- Funds Requisition Number: 29566 Function: Tax ... We are currently seeking a Senior Associate to join us in our Federal Tax/Funds practice i... more

May 07 Manager, Regulatory Affairs - Liver Disease Gilead Foster City, CA

Manager will be responsible for providing regulatory affairs support and communication ... development for assigned products. The Manager will contribute to the regulatory... more

May 07 Mutual Fund Services Administrator Harris Associates Chicago, IL

materials generated by the Mutual Funds Services Group. Responsible for ... that website postings related to the Mutual Funds Services Group are accurate and posted... more

May 04 Fund Administrator Director, Assistant Vice President State Street Bank Boston, MA

Six or more years of experience in mutual funds accounting, compliance, auditing ... activity. Strong financial reporting, regulatory compliance and tax skills. more

May 04 Fund Administration Assitant Director, Officer State Street Bank Boston, MA

Facilitates the successful start-up of new funds and conversion of new clients. Ensures ... feedback and recommendations for new mutual fund administration applications. more

May 04 Mutual Fund Trader 1 U.S. Bancorp Milwaukee, WI

maintains strong working relationships with mutual fund representatives and service ... to mutual funds - Basic understanding of regulatory and accounting principles which... more

May 03 Manager of Director/GVA/Multi Fund Lincoln Financial Group Fort Wayne, IN

effectively, and in compliance with regulatory and corporate guidelines. Report ... while ensuring compliance, legal and regulatory rules and regulations are... more

May 03 Director Product Management, Mutual Funds Hartford Radnor, PA

Title: Director Product Management, Mutual Funds Location: United ... Hartford Mutual Funds? The Hartford Mutual Funds is a rapidly growing fund family with... more

May 03 Director Product Management, Mutual Funds Hartford Financial Services Group Radnor, PA

platforms for offering The Hartford Mutual Funds through investment only arrangements. ... Hartford Mutual Funds? The Hartford Mutual Funds is a rapidly growing fund family with... more

May 01 Compliance Officer, Mutual Funds Compliance Tiaa-cref Charlotte, NC

Locations: NY-New York Compliance Officer, Mutual Funds Compliance This position ... * 5 to 10 years mutual fund accounting and/or mutual fund financial reporting experience *... more

May 01 VP Fund Accounting Manager Fanning Personnel Boston, MA

VP Fund Accounting Manager Boston investment management firm is currently seeking a VP ... ensuring accurate financial statements, regulatory reports and fund distributions. more

May 01 Senior Consultant - Mutual Funds, Hedge Funds, Private Equity (Regulatory Compliance) Deloitte Parsippany, NJ

and changing regulations. Governance, Regulatory & Risk Strategies (GR&R) provides ... and actively support activities related to regulatory authorities Qualifications: -BA/... more

May 01 Manager - Mutual Funds, Hedge Funds, Private Equity (Regulatory Compliance) Deloitte New York, NY

reporting and other internal controls, and regulatory compliance. Business risk ... and changing regulations. Governance, Regulatory & Risk Strategies (GR&R) provides... more

Apr 27 Fund Compliance Shulman Fleming Parsippany, NJ

review, compiling, drafting responses to regulatory inquiries and examinations and ... degree Prior experience with mutual funds, preferred. Willing to work overtime as... more

Apr 26 Mutual Funds Compl Admin 2 U.S. Bancorp Milwaukee, WI

and other financial information for Mutual Fund Department clients as assigned. ... knowledge and understanding of legal, regulatory and accounting principles which... more

Apr 26 Mutual Fund Attorney - 40' Act Exp Michael Page International New York, NY

Job description As the Mutual Funds Attorney you will report into a Senior Funds Attorney ... legal support for all NY-based registered funds, sub-advisory relationships and other... more

Apr 26 Mutual Funds Compl Admin 1 U.S. Bancorp Milwaukee, WI

and other financial information for Mutual Fund Department clients as assigned. ... knowledge and understanding of legal, regulatory and accounting principles which... more

Apr 26 Sales Manager-Investor Channel ING North America Insurance Braintree, MA

investor products and services to individual mutual fund and brokerage customers, ... Accountable for ensuring compliance with regulatory requirements; performs periodic... more

Apr 25 Product Supervisor Church Mutual Insurance Company Merrill, WI

standards to ensure compliance with regulatory and technical requirements. Set ... regulators. * Understanding of Church Mutual's mission, philosophy, goals, and... more

Apr 24 Lead Mutual Fund Financial Reporting Consultant MetLife Boston, MA

10+ years of either a combination of mutual fund accounting and mutual fund ... with an emphasis on audits of mutual funds. Ideally the candidate will have... more

Apr 24 Assistant Treasurer - Fund Treasury MFS Investment Management Boston, MA

the financial administration of mutual funds and other MFS investment products. ... requirements for assigned mutual funds, coordinating information with... more

Apr 19 Senior Director of Fund Operations - Retirement Services ADP Florham Park, NJ

Potential liability is also driven by legal/regulatory requirements imposed by the IRS, ... financial service operations including: Mutual Fund Accounting, Custody, Banking, and... more

Apr 18 Customer Processing Associate- Mutual Fund Order Desk Job BNY Mellon Lake Mary, FL

regulations and Pershing policies, ensuring regulatory compliance and minimizing exposure ... Product knowledge, knowledge of federal regulatory guidelines, and Pershing policies. more

Apr 18 Manager - Fund Reporting, Expenses and Distributions Vanguard Valley Forge, PA

VGI policies and compliance with applicable regulatory and accounting standards. Reviews ... accepted accounting principles for mutual funds preferred. Strong technical... more

Apr 12 Information Risk Management - Identity Management Engineer Mass Mutual Financial Group Springfield, MA

GROUP Chartered in 1851 Massachusetts Mutual Life Insurance Company ... services annuities investment management mutual funds and trust services to individual... more

Apr 12 Mutual Fund Financial Reporting Manager Fanning Personnel Boston, MA

VP, Mutual Fund Financial Reporting Manager Position Summary The Financial Reporting ... standards Minimum of 15 years in the mutual funds industry, with a minimum of 5 -... more

Apr 08 Chief Compliance Officer, The Hartford Mutual Funds and Investment Advisers Hartford Wayne, PA

for The Hartford Mutual Funds and HLS Funds and Chief Compliance Officer of Funds' ... Lead and oversee all aspects of The Hartford Mutual Funds and HLS Funds compliance... more

Apr 06 VP of Regulatory Services Kforce Finance & Accounting Boston, MA

The Regulatory Admin ... funds, as well as ETFs. In addition, the Regulatory Counsel will be responsible for the following: * Review and production of materials for client... more

Apr 04 Senior Fund Administrator Kforce Finance & Accounting Boston, MA

statements as required * Prepares and files regulatory forms (ex: N-SAR, 24F-2) * ... elevated technical ability * May assist manager by supporting junior staff... more

Mar 31 Funds Administration - Assistant Treasurer J.P. Morgan Chase Columbus, OH

sign off of Funds' financial statements and regulatory filings; coordination of all audit ... mutual collective investment and hedge funds) and activities from an investment,... more

Mar 30 Compliance Analyst - Mutual Funds PIMCO Ltd. - Pacific Investment Management Company Newport Beach, CA

TITLE: Compliance Analyst/Mutual Funds DEPARTMENT: Portfolio Compliance, Legal/Compliance ... holdings with respect to mutual fund regulatory requirements and prospectus... more

Mar 30 Mutual Funds Attorney Complistaff New York, NY

World class investment advisor seeks Mutual Funds Attorney for faced paced and dynamic ... law firm Experience with the following: mutual funds compliance legal issues relating... more

Mar 30 Mutual Funds Attorney Your Company New York, NY

World class investment advisor seeks Mutual Funds Attorney for faced paced and dynamic ... law firm Experience with the following: mutual funds compliance legal issues relating... more

Mar 22 Enterprise Operational Risk Management Executive USAA San Antonio, TX

health insurance, annuities, no-load mutual funds, discount brokerage, financial ... inter-insurance exchange (similar to a mutual), USAA has a clearly defined market... more

Mar 20 Center Director, Virginia Center for Translational and Regulatory Sciences Cbo Partners Charlottesville, VA

a multidisciplinary approach to education in regulatory science, including ... and/or educational accomplishments in regulatory or translational science in... more

Mar 18 Operational Risk Management Executive Compliance Search New York, NY

initiatives, scenario analyses, and certain regulatory inquiries and examinations. The ... should have extensive asset management, mutual fund, and money market related risk... more

Mar 15 Regulatory Risk and Control - AVP/Analyst Othersfetchwedeliver! New York, NY

Qualifications: 3+ years US Regulatory/Compliance experience (e.g ... Broker Dealers, Fund Administration, Hedge Funds, Mutual Funds, Private Banking, Private... more

Mar 10 Risk Analyst - Portfolio Management E. D. Starr & Company New York, NY

Global Asset Manager and Mutual Fund Risk Analyst Global Asset Management Firm New York ... management, operational risk management, regulatory / compliance, risk reporting,... more

Mar 09 Mutual Fund Attorney Michael Page International Chicago, IL

the preparation of investment company regulatory filings and shareholder ... fund organization (adviser or otherwise), a mutual fund administrator (custodian,... more

Mar 08 Chief Compliance Officer, The Hartford Mutual Funds and Investment Advisers Hartford Financial Services Group Wayne, PA

for The Hartford Mutual Funds and HLS Funds and Chief Compliance Officer of Funds ... aspects of The Hartford Mutual Funds and HLS Funds compliance programs and the compliance... more

Mar 06 Fund Administration Manager UMB Financial Milwaukee, WI

company services, working with mutual funds for over 60 years, with operations in ... required. Strong working knowledge of mutual fund regulatory and financial... more

Feb 15 Counsel - Securities/Mutual Fund Western and Southern Life Insurance Company Cincinnati, OH

legal needs/requirements of a diversified mutual fund complex, including familiarity ... that provides life insurance, annuities, mutual funds, retirement planning and... more

Feb 14 Director of Fundraising, OneSight Luxottica Retail Mason, OH

non-profits are followed. Assist Finance Manager with OneSight annual ... organizations: board governance, tax, legal, regulatory, reporting/disclosure issues -... more

Feb 09 Compliance Manager - Business Law & Compliance - Funds Management Lincoln Financial Group Concord, NH

are registered investment companies (mutual funds) and LIA is an SEC- registered ... * Knowledge relating to securities, mutual funds, variable annuities, life... more

Feb 06 Manager, HIV Regulatory Affairs Gilead Foster City, CA

working in collaboration with an Associate Manager or Senior Regulatory Associate. ... He/she will also collaborate with Regional Regulatory Representatives within Gileads Affil... more

Jan 13 Fund Board Legal Services Assistant 8900sm-legal San Mateo, CA

U.S. Franklin, Templeton, and Mutual Series Funds. This position works with ... meet changing business needs and regulatory requirements. JOB... more

Jan 12 Fund Board Legal Services Assistant Franklin Templeton Investments San Mateo, CA

U.S. Franklin, Templeton, and Mutual Series Funds. This position works with ... meet changing business needs and regulatory requirements. JOB... more

Dec 13 Deputy Director of Compliance -Mutual Funds Compliance Search Group New York, NY

Director of Compliance for their Mutual Funds business. Responsibilities: - Work ... - SEC and/or NASD regulatory experience within the financial services industry a plus... more

Dec 13 Mutual Funds Compliance Manager Compliance Search Group New York, NY

financial services firm is seeking a Mutual Funds Compliance Manager. The position ... States. The complex offers a full array of mutual funds in every asset class-money... more

Dec 12 Mutual Fund Reporting Associate Legg Mason Stamford, CT

to: * Support the Mutual Fund Reporting Manager in managing Legg Mason's US mutual ... fund reporting requirements * Support the Mutual Fund Reporting Manager in the... more

Dec 05 Project Manager - Financial Services - Temporary DST Systems Baltimore, MD

to Investment Management, Wealth Management, Mutual Fund, and Securities Brokerage firms. ... modeling; globalization; strategic planning; regulatory compliance; risk mitigation;... more

Aug 02 Consumer Finance Group C2 Senior Manager PwC Irvine, CA

2,900 mutual funds, representing 40% of all mutual funds and 58% of total industry net ... includes funds at nine and the advisor and funds at six of the top ten funds families. -... more

Jul 18 Fund Accounting Supervisor Kelly Services Boston, MA

Audit responses Support of tax, and regulatory filings Mutual fund accounting ... of the mutual fund industry to Assist Manager and Director in training personnel... more

Apr 08 Mutual Fund Analyst Morningstar Chicago, IL

including mutual funds, exchange-traded funds, closed-end funds, and alternatives. ... Responsibilities + Develop clear opinions on mutual funds based on research that goes... more

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