- 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
- JPMorgan Chase (New York, NY)
- …you will join a growing and innovative Equity Portfolio Management team within Wealth Management 's Chief Investment Officer Team (Private Bank CIO Team), ... Banking, Commercial Banking, Treasury & Securities Services, Asset & Wealth Management , Retail Financial Services and Card...+ Compliance : Maintain a consistent focus on compliance and risk management . **Required Qualifications, Skills… 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
- City National Bank (New York, NY)
- …agencies, including exam management and other regulatory affairs. * For Wealth Management Compliance roles, experience with a financial institution ... * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT...and/or registered investment adviser/ and the OCC. * For Wealth Management Compliance roles, experience… 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
- Citigroup (Queens, NY)
- …and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth ... + Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the...but not limited to Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral… more
- City National Bank (New York, NY)
- *CHIEF FIDUCIARY OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief...and regulatory compliance within a bank or wealth management firm. * Minimum 5 years ... trust and fiduciary operations. This role works with executive management within the Wealth Management ...Build and sustain effective relationships across business lines risk management compliance and other support functions to… more
- Citigroup (New York, NY)
- …credit, corporate and investment banking, securities brokerage, transaction services, and wealth management . Our core activities are safeguarding assets, lending ... **VP Cash Management Sales Officer - Global Solution...other sales consultants and junior staff. + Always ensures compliance with regulatory requirements including Citi's policies and guidelines.… more
- Citigroup (New York, NY)
- …consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management . Citi Bank Retail Mortgage provides home lending ... The Mortgage Lending Officer role is a developing professional role. This...partners when appropriate (including but not limited to Bank, Wealth Management , Small Business, Cards, etc. +… more
- JPMorgan Chase (New York, NY)
- …including examinations and ongoing monitoring that influence the Asset & Wealth Management operations as well as cross-business regulatory engagements. ... your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the...striving to be best-in-class. As a Regulatory Strategy Senior Officer - Associate within the Firmwide Regulatory Strategy team,… more
- City of New York (New York, NY)
- …the marketplace from predatory practices and strives to create a culture of compliance . DCWP empowers consumers and working families by providing the tools and ... New Yorkers and communities with low incomes in building wealth and improving their financial health. OFE is the...materials that further DCWP's policy agenda. The Senior Program Officer for Special Projects will lead the agency's student… more
- Citigroup (Getzville, NY)
- …risk. Its mandate covers all business lines (US Personal Banking, Global Wealth Management , Markets, Services, Banking, Global Functions & EO&T) spanning ... Operational Risk Management (ORM) is an enterprise-level independent risk ...toward the Data Transformation target state. **The Data Risk Officer ** role will serve as a subject matter expert… more
- Citigroup (Garden City, NY)
- …clients to segment partners when appropriate (including but not limited to Bank, Wealth Management , Small Business, Cards, etc. + Keep abreast of trends ... The **Community Mortgage Lending Officer ** is an **entry level position** responsible for...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- HUB International (New York, NY)
- …of the world's largest insurance brokers, HUB provides comprehensive insurance, risk management , and employee benefits solutions that help our clients protect what ... Summary** The **Senior Vice President, Sales & Regional Sales Officer ** is a key member of the HUB Northeast...Commercial Lines, Employee Benefits, Private Client, Retirement & Private Wealth , and Specialty Practices to leverage the full HUB… more
- Citigroup (New York, NY)
- …**Qualifications:** + 3-7 years of relevant experience + Prior experience in wealth management or other financial services roles preferred + Ability ... The Investment Relationship Officer is a seasoned professional role. Applies in-depth...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Lockheed Martin (Liverpool, NY)
- …our team, you will play a critical role in ensuring the security and compliance of our information systems across multiple programs\. Your expertise will be applied ... for managing the Authorization to Operate \(ATO\) lifecycle, enforcing cybersecurity compliance , and participating in a variety of tasks, such as: information… more
- KeyBank (Rochester, NY)
- …+ Maintains deep expertise in fiduciary, investment, tax, and other related wealth issues and employs sound fiduciary judgement + Proactively analyzes and interprets ... client advice Sales + Works closely with the Relationship Management Team to identify and prioritize opportunities to deepen...team members + Mitigates risk by servicing accounts in compliance with KeyBank policies and procedures, as well as… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Corporate Function Compliance (CFC) Officer will assist in the management of CFC oversight ... function responsibilities related to CIBC's Regulatory Compliance Management (RCM) program. The RCM program establishes CIBC's firmwide approach to compliance… more
- S&P Global (New York, NY)
- … operations run smoothly. The position reports to the Global Chief Matrix Officer for Ratings Compliance & Risk. **Responsibilities and Impact:** **Key ... compliance expertise. + Strong interpersonal, presentation, and relationship management skills, fostering collaboration and partnership. + Analytical, organized,… more