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Investment compliance associate jobs in Texas

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Senior Client Service Manager ROANOKE, TEXAS, US ...primary client facing associate responsible for the operational integrity of the plan. The CSM operates in a service team environment and is accountable for plan level record keeping and operational activities related to DC, NQ, and HSA plans. The CSM establishes, maintains and manages daily...
Director, Background Investigations ROANOKE, TEXAS, US ...The Fidelity Investments Background Investigations team provides comprehensive global background vetting of all new hires, which includes permanent, temporary, and third-party contractors, as well as periodic reviews of our existing full-time associates. The background investigation...
Broker- Dealer Regulation Attorney ROANOKE, TEXAS, US ...Commission registered investment advisers Experience in the areas of account opening, trading platforms, application of artificial intelligence (AI) technology, cryptocurrency, and advanced analytics and planning experiences is appreciated Ability to work independently under pressure in a...
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Executive Administrator DALLAS, TEXAS, US ...with insurance and investment companies to obtain client data. Maintain compliance logs. Manage client correspondence and quarterly reports. Maintain inventory of office supplies and order supplies as needed. Assist in writing and distributing company blog and newsletter. Transcribe...
Global Information Technology Director SAN ANTONIO, TEXAS, US ...direction and level of investment; update annually Coordinate with peers/business partners to develop and implement current year strategies with IT solutions Investigate, develop, and propose IT projects to support overall business objectives that generate positive ROI Deliver all projects...
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Dining Services - Manager in Training JAMAICA, NEW YORK, UNITED STATES ...benefits to support our associates and their family s health and well-being. Our goal is to promote welfare and health and enhance our associates' and their families' overall quality of life. Benefits - FREE Telemedicine and Prescription Discount Program along with an array of medical, dental...
Dining Services - Manager in Training SCARBOROUGH, MAINE, UNITED STATES ...benefits to support our associates and their family s health and well-being. Our goal is to promote welfare and health and enhance our associates' and their families' overall quality of life. Benefits - FREE Telemedicine and Prescription Discount Program along with an array of medical, dental...
Associate Director, Regulatory Compliance BOSTON, MASSACHUSETTS, US Company Overview Submit your CV and any additional required information after you have read this description by clicking on the application button. We are a Boston-based investment manager that provides global and international equity investment strategies and fund products to institutional...
Associate Director of Real Estate BOSTON, MASSACHUSETTS, US Job Description: The information below covers the role requirements, expected candidate experience, and accompanying qualifications. The Associate Director of Real Estate will be reporting directly to the Vice President of Facilities and assist in overseeing Berklee's diverse portfolio of...
Funds Operations Senior Associate BOSTON, MASSACHUSETTS, US The Fund Operations Team Please read the information in this job post thoroughly to understand exactly what is expected of potential candidates. Arrowstreet is the investment adviser to, and promoter of, a number of pooled investment funds, each of which is managed according to one of our offered...
Associate Actuary BOSTON, MASSACHUSETTS, US Job Description: Associate Actuary Are you ready to apply Make sure you understand all the responsibilities and tasks associated with this role before proceeding. Fidelity Investments Life Insurance Company (FILI) is looking for an Associate Actuary to help drive our future state of reserve...
Mandarin speaking - Stock Plan Services Associate SALT LAKE CITY, UTAH, US ...of Your Role As an associate in Stock Plan Services, you will partner with Fidelity Workplace Investing to service our participants at the highest level possible. As a multilingual Stock Plan Associate you will be expected to provide live language support to our international participants in...
Surveillance & Regulatory Compliance Advisory (AVP) NEW YORK, NEW YORK, US Our client is an investment bank servicing clients in fixed income and equity capital markets globally. They are currently looking for someone to come in to service their fixed income surveillance program and help with all regulatory compliance issues. Maximise your chances of a successful...
Manager, Compliance Advisor MERRIMACK, NEW HAMPSHIRE, US Job Description: The Role Check all associated application documentation thoroughly before clicking on the apply button at the bottom of this description. The Compliance Advisor is responsible for conducting compliance activities in support of Fidelity's retail annuity and life insurance business...
Senior Associate, Stock Plan Administration ENGLEWOOD, COLORADO, US ...administrative support, compliance, and reporting services. Provide day to day stock plan administration support to client, may include loading new grants, handling equity vesting/distributions, crafting service requests, and managing indicative records. Act as the conduit between client's...
Community Engagement Associate III PHILADELPHIA, PENNSYLVANIA, US ...issues, and consumer compliance regulations, including the Community Reinvestment Act. General knowledge of banking and bank regulations. Other Requirements: Valid driver s license to travel and facilitate community development outreach and programs. Travel up to 25% of time. Physical...
Director Software Engineering DURHAM, NORTH CAROLINA, US Job Description: The Role Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application. Investment Compliance Technology team is seeking a Senior Java/Scala tech lead to work on the development and enhancement of a brand-new...
Senior Legal Counsel, Fidelity Private Wealth/Institutional Distribution SMITHFIELD, RHODE ISLAND, US ...registered investment advisers (RIA), and institutional investor issues associated with alternatives matters. Experience working with placement agents, broker-dealers, and alternatives marketplaces Experience handling private offering advertising and performance issues under FINRA...
Chapter Leader - FHA and FI Data BOSTON, MASSACHUSETTS, US Job Description:The Role As the FHA & FI (FAMS, High Income, Alternatives & Fixed Income) Data Chapter Leader, you blend deep data expertise & a passion for the craft of software engineering with a strong ability to coach, mentor, and develop associates. Please make sure you read the following...
Senior Legal Counsel - Fidelity Institutional SMITHFIELD, RHODE ISLAND, US ...brokerage services and investment advisory offerings to third-party intermediary clients, including registered investment advisers (\"RIAs\"), banks, and broker-dealers. Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements...
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