- Citigroup (Tampa, FL)
- …Tax Operations Quality Assurance (QA) team in our Wealth division. The Global Regulatory Reporting & Client Tax Operations Quality Assurance (QA) VP will ... Regulatory Reporting & Client ...and accuracy of information across a broad range of wealth management products and client portfolios. The ideal… more
- TD Bank (Mount Laurel, NJ)
- …investment advisory and insurance) through multiple legal entities (TD Bank NA, TD Private Client Wealth LLC and TD Wealth Management Services Inc) with ... areas, broader organization, and enterprise as appropriate. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and… more
- Citigroup (Tampa, FL)
- …to provide legal support, advice, and guidance to the business. This role is part of the Wealth Client Segments Legal team and is based in Tampa. The Wealth ... and mobile client platforms, and account mandates. Wealth Client Segments Legal also cover cross-border...teams and in connection with various initiatives, queries and regulatory implementation/review processes. + Participate in Wealth … more
- Bank of America (Atlanta, GA)
- …Manager** (PWCRM) is a direct report to the Private Wealth Division Client Relationship Executive (DCRE) with dual reporting to the Merrill Private ... Private Wealth Client Relationship Manager Atlanta, Georgia...Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of regulatory … more
- Wells Fargo (Mclean, VA)
- …in management of a moderately complex portfolio of real estate assets within wealth client management. + Assess risk and ensure compliance with banking ... regulations related to on going asset review reporting activities + Research and perform moderately complex tasks...and support pricing estimates and lead team to meet wealth client management deliverables while leveraging solid… more
- JPMorgan Chase (New York, NY)
- …requirements related to client fee transparency, balancing clear client -friendly language with regulatory responsibilities + Monitor industry trends ... At JP Morgan Wealth Management, our Financial Advisors serve as trusted...transparency, and profitability-we incentivize the behaviors that drive exceptional client outcomes, reinforce advisor best practices, and fuel the… more
- Raymond James Financial, Inc. (New York, NY)
- …trusted relationships with senior leadership, including executive management of the Private Client Group (PCG), the firm's wealth management unit, and Asset ... models needed to risk manage the business. . Oversees and evolves risk reporting processes to enhance the accuracy and effectiveness of risk information. . Ensures… more
- TD Bank (Mount Laurel, NJ)
- …organization, and enterprise as appropriate. **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Analyst duties:** + **Ensure ... federal securities laws.** + **Help mitigate risk and ensure the firm meets regulatory obligations.** + **Handle the onboarding and offboarding of new hires.** +… more
- Truist (Charlotte, NC)
- …as primary relationship advisor for high net worth and ultra-high net worth wealth clients. Responsible for developing and deepening client relationships through ... attorneys and CPAs. * Maintain appropriate legal, operating and regulatory controls to manage risk and compliance. Works within...needed * 8 or more years of sales and client management experience in Wealth Management and… more
- M&T Bank (Wilmington, DE)
- …and aligns with the firm's wealth management goals, including client relationship management, portfolio management, and regulatory compliance. + Identify ... with specific Investment Management platforms for trading, portfolio management and client reporting ; and Banking products (deposits, customized lending and… more
- JPMorgan Chase (Jersey City, NJ)
- …fostering innovation and strategic execution. + Stay ahead of industry trends, regulatory updates, and AI-driven advancements impacting wealth management advisor ... functions. Preferred qualifications, capabilities, and skills: + Knowledge of regulatory requirements affecting wealth management advisor compensation. +… more
- Citigroup (Los Angeles, CA)
- …in the affluent and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi ... an in-depth understanding of clients' businesses and sources of wealth generation. + Anticipate events in a client...and report illegal or improper transactions, complying with all regulatory policies and control procedures regarding client … more
- TD Bank (Greenville, SC)
- …and spreadsheet reporting + May act as a contact for client relationships with regards to account maintenance, portfolio information and cash transfers + ... specific details for this role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Support Specialist acts...Financial Advisor Support Specialist acts as a point of client contact accountable to serve the needs of clients… more
- Citigroup (Chino Hills, CA)
- …in the affluent and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi ... and investment advice to our Citigold(R) and Citigold(R) Private Client segments. Senior Wealth Advisors have access...Acquire new clients through converting referral leads . Manage client follow-up and adhere to all Regulatory … more
- Citigroup (Ridgewood, NJ)
- …in the affluent and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi ... and investment advice to our Citigold(R) and Citigold(R) Private Client segments. Senior Wealth Advisors have access...Acquire new clients through converting referral leads + Manage client follow-up and adhere to all Regulatory … more
- Citigroup (New York, NY)
- The Head of Business Execution - CIO will report directly into the COO for Wealth and Matrix report into the CIO for Wealth and be a member of both the COO and ... CIO leadership teams. Citi Wealth is a leading provider of financial solutions for...including tracking business financials, employee headcount, audits, business continuity, regulatory issues and other administrative or ad hoc projects… more
- Citigroup (Chicago, IL)
- The Wealth Regional Director is a senior leader within...$50MM+ in revenue and a strong high net worth client base. + Individual will be responsible for setting ... the US Wealth Management Business managing multiple teams of ...our offering across all our businesses to address a client 's individual and business needs. + Accelerate investment business… more
- First National Bank of Omaha (Omaha, NE)
- …and maintenance of platforms supporting investment management, trading, portfolio management, and client reporting + Direct the evaluation and implementation of ... architecture, and cloud infrastructure in financial services + Familiarity with regulatory technology requirements in wealth management **Leadership & Business… more
- Fifth Third Bank, NA (Lexington, KY)
- …a career in banking at Fifth Third Bank. GENERAL FUNCTION: Serves as the primary Wealth Planning expert and resource for high net worth prospects and client ... through the development, delivery and implementation of a customized wealth plan, which includes proactive, high impact, multi-generational planning solutions… more
- Citizens (New York, NY)
- …to FINRA, SEC, and other regulatory requirements + Point of Escalation: All RSO, Wealth Advisor, and client escalations will be handled by the role + Team ... related to principal approvals, ensuring consistent application across the team + Regulatory Reporting : Maintaining accurate records of review activities and… more