- Capital One Bank (Richmond, VA)
- …reliability engineering, technology data, and risk management professionals who have a wealth of experience and a demonstrated ability to provide value added ... priority at Capital One, with heavy engagement from the Board, the Chief Executive Officer , and the executive committee. By joining TDRM, you will be providing these… more
- Capital One Bank (Petersburg, VA)
- …operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TRM) organization have ... of the CISO, the CIO/CTO, and the Chief Data Officer . The CTRO reports to the Chief Risk ...data scientist, and risk management professionals. They have a wealth of experience and a demonstrated ability to add… more
- Capital One Bank (Newport News, VA)
- …operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TRM) organization have ... of the CISO, the CIO/CTO, and the Chief Data Officer . The CTRO reports to the Chief Risk ...data scientist, and risk management professionals. They have a wealth of experience and a demonstrated ability to add… more
- Capital One Bank (Petersburg, VA)
- …operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TRM) organization have ... of the CISO, the CIO/CTO, and the Chief Data Officer . The CTRO reports to the Chief Risk ...data scientist, and risk management professionals. They have a wealth of experience and a demonstrated ability to add… more
- Plante Moran (Southfield, MI)
- …goals. Join us. Plante Moran is seeking a strategic and hands-on Chief Financial Officer (CFO) to lead our financial operations and help shape the future of our ... performance. Oversee day-to-day accounting and finance operations, ensuring accuracy, compliance , and strong internal controls. Deliver timely, insightful financial… more
- KeyBank (Amherst, NY)
- …projects and testing. The ideal candidate has a functional knowledge of wealth management, trust/fiduciary compliance laws and regulations, risks and supporting ... to risk-based monitoring and evaluation by focusing on current, high impact wealth management and trust-related compliance and operational risks, developing… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively… more
- HSBC (Beverly Hills, CA)
- …our people, our investors, our communities and the planet we all share. The Wealth Relationship Officer works closely with the Wealth Relationship Manager ... contribute to the overall cost efficiency ratio As our Wealth Relationship Officer you will: + Provide...7, 63, Life and Health insurance licenses required In compliance with applicable laws, HSBC is committed to employing… more
- Bank of America (Wayzata, MN)
- Wealth Management Lending Officer Wayzata, Minnesota **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Wayzata/ Wealth -Management-Lending- Officer \_25023610-2) **Job Description:** Merrill Wealth … more
- Citigroup (Los Angeles, CA)
- The Investment Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (New York, NY)
- …including executive management of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management divisions, serving as a strategic and ... essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies… more
- Citigroup (Jacksonville, FL)
- The Operational Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (New York, NY)
- The Relationship Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (New York, NY)
- The Senior Executive Assistant provides support to members of the Wealth COO leadership team (Business Execution Leads) by handling correspondence, managing ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- US Bank (Waterloo, IA)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. **Basic Qualifications:** + Bachelor's degree, or equivalent work experience +… more
- Berkshire Bank (Boston, MA)
- …$170,031 Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the ... Management Reports to: Managing Director & Chief Investment Officer , Wealth Management Status: Exempt/ Officer ...and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with a financial… more
- Insight Global (New York, NY)
- … Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. * Review marketing material for consistency ... Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and… more
- Byline Bank (Chicago, IL)
- …we serve, Byline Bank is the place for you. **Objective of Position** : The Compliance Officer helps oversee the Compliance Management System of Byline Bank. ... The Compliance Officer will function as an independent and objective person...banking, personal and business deposits, treasury and cash management, wealth management, consumer, commercial and SBA lending, and lease… more
- Huntington National Bank (Columbus, OH)
- …Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... activities. + Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs. +… more
