registered investment adviser and broker-dealer clients • Implement and... monitor compliance policies and procedures • Develop strategic vision for compliance functional areas • Maintain regulatory risk and governance oversight • Analyze and establish internal controls for primary lines of business...
Title: US Advisor Attorney-Vice President, Assistant General Counsel Job Responsibilities: - Manage legal coverage for the . Funds Management business. - Oversee the creation and management of mutual funds and exchange-traded funds. - Advise on regulatory developments and their implementation. - Provide legal support to...
Compliance Officer - Investment Management Chief Compliance Officer Opening in Calfee's Cleveland, Columbus, or Cincinnati Office Opportunity for a Chief Compliance Officer in the Investment Management group in our Cleveland, Columbus, or Cincinnati office. This role...
Title: Technical Director, Advanced Consulting Group Job Responsibilities: As the Technical Director of the Advanced Consulting Group (ACG) Annuity Team, the primary responsibility is to assist Americans in preparing for and living in retirement. This role requires expertise in the tax rules...
legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play a key role in supporting investment advisers and broker-dealer clients by shaping and... directing the overall compliance framework and risk...