About Modera Wealth Management. Modera Wealth Management is an independent, fee-only firm that strives to make a lasting positive impact on the lives of our clients through comprehensive financial planning and intelligent investment management. Modera is a fast-growing firm and has a track record of providing career development opportunities from entry level to ownership. We are seeking individuals who embody Modera's core values. Confident Humil...
Reporting to the Compliance Director, the Sr. Compliance Associate is responsible for assisting in the implementation of the firm's investment compliance program. This role will focus on the oversight and maintenance of the compliance system for monitoring client investment guidelines and restrictions. The successful candidate will coordinate with investment teams and Operations, Legal and Technology personnel to communicate and resolve investmen...
Employer Summary. Octagon Credit Investors, LLC is a 30-year-old, $33 billion below-investment grade corporate credit investment adviser focused on leveraged loan, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes, sectors, and issuers. ...
Senior Compliance Associate. (New York, NY): Our client, a longstanding and successful private equity firm with over $50B in AUM, is seeking to hire a Senior Compliance Associate. This position will collaborate closely with the leadership and oversee day-to-day aspects of the compliance program, as well as collaborate on large scale projects. Seated in a newly created capacity, the Senior Associate will have an impactful role on the continued gro...
Senior Compliance Associate. (New York, NY): Our client, a longstanding and successful private equity firm with over $50B in AUM, is seeking to hire a Senior Compliance Associate. This position will collaborate closely with the leadership and oversee day-to-day aspects of the compliance program, as well as collaborate on large scale projects. Seated in a newly created capacity, the Senior Associate will have an impactful role on the continued gro...
Who is Cover Whale. Cover Whale improves road safety by combining our insurance products with our data-driven driver coaching and safety program. Our safety program is proven to save lives while delivering better insurance for our drivers. Join us in the mission. Founded in 2019, Cover Whale recently closed a $27.5M Series A funding round with Morgan Stanley Expansion Capital and is continuing to scale and expand its business. For more informatio...
"I can succeed as a Senior Compliance Associate at Capital Group.". The Code of Ethics Team is dedicated to helping associates observe exemplary standards of integrity, honesty, and trust. It sets out standards for our personal conduct, including personal investing, gifts and entertainment, outside business interests and affiliations, political contributions, insider trading, and client confidentiality. As a Senior Compliance Associate, you will ...
Summary. The Senior Compliance Associate is responsible for assisting in the administration of the Compliance Program for each of the regulated Calamos entities. Included is internal control testing, review of the firm’s policies and procedures as well as providing general compliance support to the businesses. Primary Responsibilities. Contributes to the implementation and testing of Compliance policies and procedures. Proactively reviews busines...
