, registered funds, particularly focusing on 1940 Act support Review regulatory filings, '40 Act fund registration statements... market investment vehicles preferred Experience with 1940 Act compliance matters Broker-dealer legal and compliance...
, review releases and settlement agreements, including confidentiality and non-disclosure provisions. Support underwriting... marketing efforts, including participation in broker and account visits and risk mitigation seminars and authoring customer...
impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirements... Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable...
with representatives from various business lines and support units. Execute strategic direction, policies and guidelines for the Bank... Responsibilities: Serve as legal and transactional support for Commercial Real Estate (CRE) business segment leadership. Provide...
customers, support our desktop data solutions to prospective users within MarketAxess' client base, supporting technical issues... to advise customers Maintain customer relationships and be the subject matter expert in relevant data products Support...
and advice to individuals and families. Your expertise will support a wide range of clients, from those just starting to save... that deepen client relationships. Job responsibilities Champion and support your teammates' success and the goals of the bank...
are available for rapid consults, support, and referrals. The Licensing and Credentialing Specialist is responsible for managing the... and external stakeholders to support the credentialing and licensing processes. About the Position: We are seeking...
Analytics What is the opportunity? The RBC Capital Markets Client Intelligence team plays an integral role in support of the... and design visualizations in Tableau that highlight actionable client insights in support of strategic business initiatives...
) to support the Chief Human Resources Officer (CHRO) in overseeing the center’s comprehensive human resources strategy. The... annual benefit plan renewals, plan marketing and plan design changes with the company’s insurance broker, for the medical...
: Implementation and support of enterprise-level software solutions. Digital Services: Services related to digital technologies... and strong analytical skills. Strong understanding of the financial markets and banking, including broker-dealer product-based knowledge...
support to the Origination & Advisory Capital Markets business which focuses on investment banking advisory engagements... that support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including...
managers group. They also provide analytical support for the firm’s portfolio managers by highlighting risks and making... in the banking, broker and specialty finance sectors preferred, ideally with knowledge of statutory accounting...
-standard work or work that does not meet firm's/client's expectations. Use data and insights to inform conclusions and support... Management, Sales and Trading Operations; Broker Dealer Compliance; and, Data and Analytics in a Sales and Trading business...
of support. We’re with you every step of the way! What we will ask of you: Commitment to Hach & Rose and the clients we serve... box thinker and collaborative to support our growth. Empathic and compassionate. High level of professional presence...
manage risk and ultimately support the profitable growth of organizations in a dynamic, competitive and ever-changing..., account/broker meetings, and presentations. Conducting property loss control inspections of various types of process...
clients (i.e., national & regional broker-dealers, banks, platforms, etc.). Members of the Strategic Accounts team function... include: Conducting research on market trends, competitor offerings, economic indicators, and investment products to support...
: Implementation and support of enterprise-level software solutions. Digital Services: Services related to digital technologies... of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to conduct independent...
: Implementation and support of enterprise-level software solutions. Digital Services: Services related to digital technologies... of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to conduct independent...
: Implementation and support of enterprise-level software solutions. Digital Services: Services related to digital technologies... of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to conduct independent...
: Implementation and support of enterprise-level software solutions. Digital Services: Services related to digital technologies... of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to conduct independent...