- US Bank (Minneapolis, MN)
- …Manager - Wealth , Commercial, Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit ... partners and key stakeholders in the following areas: * Wealth Management laws and regulations (eg, Broker...The Senior Audit Manager also has strong knowledge of Compliance Management Systems. Global Corporate Compliance… more
- BMO Financial Group (Naperville, IL)
- …Canada, US Wealth , Asset Management , and Insurance. As a member of the Wealth Data Management Office, this Manager role will work closely with the ... all Wealth businesses - in alignment with Wealth Management Data Governance Program...internal and external stakeholders. + Monitors and reports on data management requirements and compliance … more
- Fifth Third Bank, NA (Cincinnati, OH)
- … Officer II (COII) you will conduct compliance testing for the Wealth and Asset Management (W&AM) business and be responsible for testing strategy, ... required to gather, assess, and present quantitative and qualitative data . * Able to assess controls, develop and support... Officer II - Compliance Testing - Wealth and Asset Management LOCATION -- Cincinnati,… more
- JPMorgan Chase (Columbus, OH)
- **Position description** As a Data Owner - Vice President in JPMorgan Wealth Management , you will be responsible for integrating data priorities with an ... within the product, and remediating issues identified throughout the data life cycle in compliance with Firm-wide... domains & SORs that are needed by a wealth management organization (eg, securities data… more
- Robert Half Finance & Accounting (Needham, MA)
- … Wealth Management firm, and they are looking to bring onboard a Wealth Management Operations and Compliance Associate. This position is in-office 1x ... manager and the COO by performing tasks such as management of the firm's portfolio system, CRM, and client...will also oversee the firm's document sharing system, assure data integrity, and help with compliance matters.… more
- Morgan Stanley (Menlo Park, CA)
- *POSITION SUMMARY:* The Wealth Management Analyst's responsibilities include producing strategy reports, synthesizing client/prospect data to develop ... clients and creating and executing marketing strategies to attract new clients. The Wealth Management Analyst focuses on servicing clients by understanding their… more
- Citigroup (Tampa, FL)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Wealth Independent Assessment Organization's Testing team ... for auditing, testing, monitoring, and reporting. + Utilizing innovative compliance testing solutions including Data Analytics to...CT teams on a regular basis. + Informing CT management of significant compliance matters that require… more
- Citizens (Westwood, MA)
- …to ensure proper retention and supervision of the electronic communications of Wealth Management colleagues per regulatory requirements. + Perform weekly ... career with exciting new challenges and opportunities to stretch yourself. The Compliance Associate is responsible for working within Citizens Securities, Inc.'s … more
- Morgan Stanley (Menlo Park, CA)
- *POSITION SUMMARY:* The Wealth Management Associate is often the first point of contact with clients on a broad array of services related to account servicing, ... quickly and accurately to client questions and concerns. The Wealth Management Associate is an integral member...Wealth Advisors * Prepares performance reports and other data for clients that may involve evaluating account performance,… more
- Morgan Stanley (San Francisco, CA)
- *POSITION SUMMARY:* The Wealth Management Associate is often the first point of contact with clients on a broad array of services related to account servicing, ... quickly and accurately to client questions and concerns. The Wealth Management Associate is an integral member...Wealth Advisors * Prepares performance reports and other data for clients that may involve evaluating account performance,… more
- Zions Bancorporation (Salt Lake City, UT)
- …under local management teams and community identities in 11 states. Enterprise Wealth Management (EWM) is dynamic and evolving business line under the Zions' ... growth and innovation. In addition, regulatory oversight in the wealth management space is becoming more complex....risk topics pertinent to advisory services and fiduciary asset management . + Perform compliance reviews and approvals… more
- Zions Bancorporation (Salt Lake City, UT)
- …under local management teams and community identities in 11 states. Enterprise Wealth Management (EWM) is a dynamic and evolving business line under the ... independently. + Good understanding of the profit and expense drivers in a wealth management organization + Self-motivation and the ability to work independently… more
- Morgan Stanley (New York, NY)
- …and Readiness, and Regulatory Compliance . The team partners with individual Wealth Management business lines, Legal/Risk/ Compliance , and senior Firm ... financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees… more
- Bank of America (New York, NY)
- …for overseeing the Global Financial Crimes Risk program for Merrill Lynch Wealth Management , Merrill Edge/Consumer Investments, Bank of America Private Bank ... Management + Decision Making + External Resource Management + Regulatory Compliance + Strategy Planning...**Required Qualifications** * In depth knowledge of Merrill Lynch Wealth Management and Bank of America Private… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …The ideal candidate would have an understanding of fiduciary requirements and/or wealth management business processes. In addition, the candidate will need ... to join our Internal Audit team to support our Wealth and Asset Management processes. This role...the planning, testing, reporting and wrap up phases in compliance with the Audit Division's methodology /standards and within… more
- Bank of America (Chicago, IL)
- …Client Relationship Executive (DCRE) with dual reporting to the Merrill Private Wealth Management Regional Managing Director (RMD). The PWCRM functions as ... a member of the market leadership team. The PWCRM manages the Wealth Management Client Associates, Operations support staff, and the branch's Operations… more
- Bank of America (New York, NY)
- Global Financial Crimes Manager - Global Markets and Global Wealth & Investment Management Risk New York, New York;Jersey City, New Jersey; Charlotte, North ... the Front Line Units (FLUs) and Control Functions (CFs) to complete compliance , policy, operational/fraud risk management requirements. The Global Financial… more
- Citizens (Johnston, RI)
- …staff of professionals. QUALIFICATIONS + Banking/Financial Services experience required. + Wealth Management experience required and exposure to Private Banking ... provide valuable financial leadership and direction for the Private Wealth Manager Team within Citizens Bank, playing a key...years of total work experience with 5+ years of management experience preferred. + Experience managing a team as… more
- MassMutual (Springfield, MA)
- … and defining strategy **Preferred Qualifications** + At least 3 years of Asset or Wealth management experience in a similar role + Track record of delivering ... capability that enables leaders throughout the company to make data -drive decisions regarding the wealth business +...solutions are secure and aligned to all security and compliance requirements **People & Program Management **… more
- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Wealth Relationship Officer works closely with the Wealth Relationship Manager and ... provide an outstanding customer experience to valuable banking and wealth clients. The goal of this role is to...staff by preparing and completing sales documents and managing data input and report generation, generating and analyzing specialized… more