- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY ** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager ... with daily supervision of Broker Dealer and Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters,… more
- Truist (Charlotte, NC)
- …and proactively identifying, mitigating, and managing risks within Corporate and Investment Banking - Investment Banking Coverage, Capital Markets Origination ... and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and… more
- Deloitte (Boston, MA)
- …(eg, retail investors, qualified plan participants, high-net worth clients). + Deloitte's Investment Management Advisory Practice: Our Investment Management ... Financial Services Risk Management Manager Our practitioners have the opportunity to engage...the following Financial Services industries: consumer or corporate banking, investment banking or capital markets, investment management,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …large or multiple testing projects with significant scope and impact for the Investment Advisers Act of 1940 Section 206(4)-7 compliance obligations. Works ... identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a controls… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more
- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses. This role will ... make a difference. We are a premier asset manager focused on delivering global investment management...industry. Responsibilities + Assist the Head of North America Compliance in overseeing and managing the firm's investment… more
- Charles Schwab (Lone Tree, CO)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will establish strategies and design plans to ensure that asset and service… more
- Manulife (Boston, MA)
- …audits include portfolio management & trading (front office), investment operations, compliance and risk management. The Associate Manager is accountable for ... Asset Management Segment of Manulife Financial. The General Account Group handles investment portfolios related to the insurance business, and the Wealth and Asset… more
- Deloitte (Chicago, IL)
- …Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) Risk, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more
- Alight (Charlotte, NC)
- ** Advisory Team Manager ** **Are you looking for a new opportunity to lead a goal-oriented team?** **Are you passionate about building relationships and ensuring ... market pricing, delivery needs, client expectations, etc . Have intermediate compliance , regulatory and legislative knowledge in investment advice **Flexible… more
- Robert Half (Philadelphia, PA)
- JOB REQUISITION Internal Audit & Financial Advisory Manager LOCATION PHILADELPHIA ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti Career ... Protiviti is looking for an Internal Audit & Financial Advisory Manager to join our growing team....PCAOB. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance . + The Institute of Internal Auditors (IIA's) code… more
- HUB International (Gardner, MA)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB ... We currently have an opportunity for an **Assistant** **Account Manager ** (with potential for hybrid work) to join our...(with potential for hybrid work) to join our **Client Advisory Team.** The selected employee will be responsible for… more
- HUB International (South Hadley, MA)
- …their own unique, regional culture. We currently have an opportunity for an **Account Manager - Client Advisory Team** . The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- HUB International (Spencer, MA)
- …500 offices across North America. We currently have an opportunity for an **Account Manager ** on our **Client Advisory Team.** The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- Deloitte (Columbus, OH)
- …a Tax Manager , you will utilize your prior experience to provide tax compliance and advisory services to investment management clients. You will assist ... have an exciting opportunity for you as a Tax Manager on our growing team! Recruiting for this role...tax filings + Preparing and leading client meetings on compliance and advisory projects related to tax… more
- Scotiabank (New York, NY)
- Manager , US Investment Banking Product Control **Requisition ID:** 197379 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... winning team, committed to results, in an inclusive and high-performing culture. ** Manager , US Investment Banking Product Control (197379)** **Global Banking and… more
- Deloitte (Boise, ID)
- …solid understanding of Subchapter K, partnership allocation methodologies, and the tax compliance process for investment partnerships, we have an exciting ... opportunity for you as a Senior Tax Manager on our growing team! Work you'll do As...you will utilize your prior experience to provide tax compliance and consulting services to investment management… more
- Bank of America (Jacksonville, FL)
- Merrill Advisory Development Program Oversight Principal Jacksonville, Florida;Pennington, New Jersey **Job Description:** At Bank of America, we are guided by a ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- HUB International (Gardner, MA)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB ... an opportunity for an **Rewrite and Remarket Specialist** to join our **Client Advisory Team** . The selected employee will be responsible for handling all middle… more
- Truist (Mclean, VA)
- …job description:** The Investment Analyst (IA) is responsible for working with Investment Managers and the Investment Advisory Group (IAG) to assist ... for investment communication. The IA assists the Investment Manager in acquiring prospective clients through...portfolios and is responsible for adhering to and documenting compliance with Truist, SunTrust Advisory Services, and… more