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Chief Compliance Officer of the Investment Advisers
RESPONSIBILITIES: Responsibility and authority to develop and enforce appropriate policies and procedures for the funds and investment adviser consistent with the requirements mandated by federal regulations and for the protection of investors and the public interest. Develop and maintain written policies and procedures for on-going monitoring of fund operations to ensure compliance with a variety of existing federal regu...
Digital Capabilities Director
The candidate will develop and execute the multi-year digital strategy and roadmap for starting from new customer application/onboarding through customer service and retention (end-to-end). Deliver annual cost savings by achieving KPI targets. Manage all web and mobile channels at BCUS. Responsible for managing capital and operating budgets to advance our digital strategy and support the digital needs of the business. Build the case for change...
Assistant General Counsel - CCB Regulatory, Operations and Controls Team - VP
The candidate will provide legal, regulatory and advisory support regarding the furnishing and use of credit bureau information throughout the firm. Will support and advise centralized Credit Bureau Operations team and other lines of business on compliance with laws and policies relating to the furnishing and dispute by consumers of credit bureau information. Support and advise all LOBs and contr...
Responsibilities : The candidate will work with the CEO, board and senior management to ensure that the corporate structure and governance supports the business and propagates PVC. Ensure that firm remains in compliance with all regulations in the global jurisdictions in which to operate, including tax and financial services regulations. Serve as a legal thought partner with heads of business units to innovate and expand the businesses. Ensure that all cont...
Tax & Wealth Planning Specialist
The candidate will provide financial and income tax planning consultations to a wide spectrum of Personal Advisor Service clients and prospects. Develops an understanding of the client's financial situation and future needs through analysis of their current financial condition. Works with the clients' other advisors to coordinate and ensure consistent delivery of financial planning services. Topics for consultation would include, but are no...
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Associate Counsel/Corporate&Commercial Transactions
The candidate will be responsible for Drafting and negotiating commercial agreements in support of company’s divisions, including Information Technology, Strategy and Finance, Investment Management, Institutional Investors Group, Financial Advisor Services, Retail Investor Group, and International. Working in concert with company supply management.Collaborating with internal clients and legal colleagues in various juris...
AVP, Senior Counsel - Fund Management
The candidate will provide legal advice and support to the company Group business segments, including SEC-registered investment adviser, that are responsible for providing investment management services to proprietary mutual funds and separate accounts. Provide significant and pro-active legal support, legal project management and sophisticated guidance regarding the proprietary mutual funds, including advice regarding fund operations ...
Corporate Finance Associate
The candidate must have JD degree from a top tier school with superior academic credentials. Should have 3-5 of leveraged finance experience, particularly in the context of mergers and acquisitions. Large firm experience is preferred.
Investment Manager Research Analyst Exchange Traded Products
The candidate will work in the Office of the Chief Investment Officer and provide coverage on Exchange Traded Products. The analyst will evaluate and monitor available funds. The funds offered may be in a variety of asset classes including: fixed income, equity, and alternatives. Duties include: Preparing and presenting analysis to internal groups. Meeting with investment managers to gain understanding of their p...