- 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
- Tradeweb (New York, NY)
- …compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb is seeking a mid-to-senior level Compliance Officer with deep expertise in data privacy, privacy ... the world's largest banks, asset managers, hedge funds, insurers, corporations, and wealth managers. Creative collaboration and sharp client focus have helped fuel… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management ... activities for discretionary accounts to help ensure adequately designed for regulatory compliance . + Provide oversight and monitoring of business group risk-based … more
- Access Dubuque (Dubuque, IA)
- …relationship building, and business development?_** Join our growing Fidelity Bank & Trust Wealth Management team as a **Trust Officer , in our Waverly branch** ... Trust Officer **Fidelity Bank & Trust** 1 Positions ID:...wealth management + Strong knowledge of trust laws, compliance standards, and fiduciary best practices + Exceptional communication… more
- HUB International (Chicago, IL)
- …insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue ... in mergers and acquisitions. **SUMMARY** The **National Chief Cross-Sell Officer ** plays a vital role in the growth of...of our Employee Benefits (EB) and Retirement & Private Wealth (RPW) lines of business. The National Chief Cross-Sell… more
- Customs and Border Protection (Alexandria Bay, NY)
- …relating to the admissibility of people, cargo and conveyances; international mail compliance ; arrival and departure of vessels and aircraft. If going from a ... contact the CBP Retirement Operations Center at ###. The customs and border protection officer mandatory separation provisions of 5 USC 8425 do not apply to an… more
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