- Capital One Bank (Chicago, IL)
- …Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TRM) organization have broader responsibilities for cybersecurity but also reliability, software ... of the CISO, the CIO/CTO, and the Chief Data Officer . The CTRO reports to the Chief Risk ...reliability engineering, technology, data analyst, data scientist, and risk management professionals. They have a wealth of… more
- Capital One Bank (Petersburg, VA)
- …Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TRM) organization have broader responsibilities for cybersecurity but also reliability, software ... of the CISO, the CIO/CTO, and the Chief Data Officer . The CTRO reports to the Chief Risk ...reliability engineering, technology, data analyst, data scientist, and risk management professionals. They have a wealth of… more
- KeyBank (Amherst, NY)
- …team on projects and testing. The ideal candidate has a functional knowledge of wealth management , trust/fiduciary compliance laws and regulations, risks and ... 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)
- …business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion ... This position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose...advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a… 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 ... 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Wayzata/ Wealth - Management -Lending- Officer \_25023610-2) **Job Description:** Merrill Wealth Management… 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...members achieve their financial goals + Understanding of relationship management systems and experience managing clients + Knowledge of… 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 ... years of financial services experience required . Experience in broker-dealer or wealth management firms preferred, especially with exposure to front-office or… more
- Citigroup (Los Angeles, CA)
- …**Qualifications:** + 2-4 years of relevant experience + Prior experience in wealth management or other financial services roles preferred + Ability ... The Investment Relationship Officer is a developing professional role. Deals with...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- US Bank (Waterloo, IA)
- …at-all from Day One. **Job Description** Responsible for the administration, risk management and servicing of assigned fiduciary and investment management ... and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and… 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 ... for example. + Serves as a subject matter expert for Issues Management (KPI/KRI/Corrective Action Plans) + Resolves transactional level escalations coming from the… 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 ... C16 level managers + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings, receptions… more
- Berkshire Bank (Boston, MA)
- …Berkshire Wealth Management Reports to: Managing Director & Chief Investment Officer , Wealth Management Status: Exempt/ Officer Grade: 12 Salary ... Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will...and strategy for the compliance and risk management of the Wealth Management … more
- City National Bank (New York, NY)
- …Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with a financial institution ... * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT...as a broker/dealer and/or registered investment adviser. * For Wealth Management Compliance roles, experience… more
- Byline Bank (Chicago, IL)
- …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...fintech banking, personal and business deposits, treasury and cash management , wealth management , consumer, commercial… more
- Insight Global (New York, NY)
- …The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. * Review marketing material for ... Job Description The Compliance Officer will work closely with...abilities in analytical thinking, problem solving, research, and time management Must have excellent verbal communication and people skills… more
- Huntington National Bank (Columbus, OH)
- …Sales and Trading activities. + Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and ... Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division inclusive of affiliates engaged...+ Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance … 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)
- …Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management Compliance to focus on SEC Registered ... escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management + Provide direction to the business on… more
- Rochester Institute of Technology (Rochester, NY)
- **9860BR** **Position Title:** Prospect Research and Management Officer **Organization:** Development **Job Responsibilities:** Major Responsibilities: + ... us. **Work Location:** Hybrid - Remote/On-campus **Job Summary:** The Prospect Research and Management Officer is the strategic partner of the development … more
- Access Dubuque (Dubuque, IA)
- …building, and business development?_** Join our growing Fidelity Bank & Trust Wealth Management team as a **Trust Officer , in our Waverly branch** and play a ... Trust Officer **Fidelity Bank & Trust** 1 Positions ID:...years of experience in trust and wealth management + Strong knowledge of trust laws, compliance… more
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