Investment Advisor Jobs in Connecticut

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Search Results - Investment Advisor Jobs in Connecticut

Managing Director, General Counsel

AMIP Management-New Canaan-today

and private investors. Job Description: We are seeking an experienced and business-oriented General Counsel to lead all legal and regulatory functions for our SEC-registered investment adviser specializing in mortgage-related investment strategies...

Registered Professional for Investment Counsel Boutique

Jackson, Grant Investment Advisers, Inc.-Stamford-yesterday

is on-sight in North Stamford, CT. Company Description Jackson, Grant Investment Advisers, Inc. specializes in serving high-net-worth individuals (minimum $5 million) who require a sophisticated fiduciary boutique setting within a culture of honor...

Compliance Associate

Atlantic Group-Stamford-today

related discipline • 2-6 years of relevant work experience with a financial institution such as a broker/dealer, consulting firm, registered investment adviser, regulatory agency, or other financial institution • Prior experience with the Investment...

Vp Legal Counsel - Private Funds

Confidential-New York-today

frameworks such as the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA regulations is necessary. The successful candidate will be a team player with excellent...

Senior GC, Investment Management — In-Office Stamford

Atlantic Group-Stamford-appcast.io-3 days ago

A financial services company is seeking a General Counsel (Investment Management) in Stamford, CT. This role oversees legal matters related to investment adviser regulation, private fund issues, and structured credit transactions. Candidates should...

Compliance Counsel

Atlantic Group-Stamford-yesterday

Advise investment teams on material non-public information, wall crossings, and restricted trading protocols. • Restricted List & Trading Controls: Maintain restricted lists, monitor investment guidelines, and oversee trading controls across credit...

National/Key Accounts Manager

Clinton Investment Management, LLC-Stamford-today

Clinton Investment Management, LLC (“CIM”), an SEC registered investment adviser with $4 billion in AUM, specializes in the professional management of municipal bond portfolios on behalf of High-Net-Worth, Ultra-High-Net-Worth, and Institutional...

Financial Advisor

Hartford-icims.com-1 week ago

that focuses on: Planning Experience • Asset & Income Protection • Education Funding • Investment & Advisory Services • Trust Services • Retirement Solutions • Business Needs Analysis Northwestern Mutual’s proprietary planning software helps you educate...

General Counsel (Investment Management)

Atlantic Group-Stamford-appcast.io-3 days ago

in Stamford, CT for our client. This senior legal leadership role oversees investment adviser regulation, private fund legal matters, and structured credit transactions across an SEC-registered platform. You will advise executive leadership on fund formation...

General Counsel

Burnham Sterling-Greenwich (CT)-today

Regulatory. The Firm operates an SEC-registered broker-dealer to effect securities transactions and a registered investment advisor with respect to its fund business. Workplace Environment. People who do well at the Company have a strong work ethic...

Residential & Consumer Mortgage Loan Originator

Windsor Federal Bank-Windsor (CT)-today

Relationships: Proactively develop and nurture referral relationships with real estate professionals, attorneys, investment advisors, internal bank employees, and community organizations to drive loan originations. • Client Engagement: Conduct in-person, phone...

Financial Consultant - Greenwich, CT

Fidelity Investments-Fairfield (CT)-yesterday

expectations for this position. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing...

Financial Consultant - Fairfield, CT

Fidelity Investments-Seymour (CT)-yesterday

with your recruiter for the specific expectations for this position. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940...

8 similar jobs: Fairfield, South Salem, West Haven, New Haven, Norwalk...

Financial Consultant - Providence, RI

Fidelity Investments-East Killingly-yesterday

by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations...