- US Bank (New York, NY)
- …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
- Citigroup (New York, NY)
- …of consumer credit risk and related data + Deep understanding of risk management framework and practices applicable to wealth management - including ... Risk CAO organization provides a global focus for risk management strategy/execution oversight for compliance with Citi...& client/risk aggregation needs unique to private banking and wealth management , and with a proven track… 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
- Wells Fargo (New York, NY)
- The **Client Relationship Group (CRG)** Product Management organization within Wealth and Investment Management (WIM) leads the strategy, design and ... and independent advisor channels. The team drives close collaboration across all Wealth & Investment Management product vertical to drive a consistent… more
- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Wealth Relationship Officer (WRO) works closely with the Wealth Relationship Manager ... 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
- Citizens (Tarrytown, NY)
- Description Citizens Private Bank has accelerated its strategy to build out Wealth Management , scale Business Banking, grow deposits, and expand in key growth ... expertise and research, while intimately focusing on each client's unique circumstances. The Wealth Portfolio Management Group is responsible for the day-to-day … more
- HUB International (New York, NY)
- …Problem Solver **Preferred Qualifications** + Financial Service Knowledge, specifically 401(k) & Wealth Management + Understand compliance and regulatory ... property, casualty, risk management , life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB means… more
- US Bank (New York, NY)
- …activities by integrating other internal audit subject matter teams (Anti-Money Laundering, Compliance , Risk Management , Data , Operations, etc.) to ensure ... to the fiduciary products and services within US Bank's Wealth Management and Investment Services businesses. This...for areas of higher risk. + Drive automation and data analytics opportunities within their portfolio both as part… more
- M&T Bank (Buffalo, NY)
- …reporting and delivery with the ability to analyze large amounts of data and information to provide meaningful insights and professionally communicate those insights ... to management and business partners. + Lead continuous improvement of...lead role in supporting departmental audits including user recerts, compliance testing. + Manage the planning, testing, and implementation… more
- Atria Wealth Solutions (Syracuse, NY)
- Atria Wealth Solutions, Inc. (Atria) is a wealth management solution holding company focused on delivering a clear path to the future of financial advice for ... USA Compensation: 70,000 - 85,000 Position Purpose: The Senior Compliance Analyst assists the firm in mitigating certain risk...Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on… more
- Insight Global (New York, NY)
- …Prior experience in compliance , product controllers, legal, regulatory, audit or risk management functions -- asset or wealth management and/or global ... with regulations and firm policies, while working closely with compliance and business management to sharpen the...about investigative work and possesses a deep knowledge of wealth , asset or portfolio management , and/or risk… more
- Deloitte (New York, NY)
- …core banking platforms, compliance monitoring, regulatory reporting, risk or case management , or data management + Direct working experience related ... management and compliance programs, and technology platforms. Our wealth management clients provide direct-to-consumer investment advice and management… more
- S&P Global (New York, NY)
- …and validation of insider lists in relation to regulatory requests + Draft Compliance management information reports for various business and senior ... Lists when required. You will be involved in analyzing data generated by Control Room's monitoring activities and derive...team's and compliance department's effort. Exposure to compliance risk and controls management and regulatory… more
- Citigroup (New York, NY)
- …across the entire wealth spectrum. It has been created by combining the Wealth Management businesses across Citi Global Consumer Bank and Citi Private Bank. ... reviews and regulatory exams in client related areas. + Significant Wealth Management Team interactions and Governance Committee presentations. + Foster… more
- Morgan Stanley (New York, NY)
- …financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees ... review until resolution. The increased usage and incorporation of data analytics into the testing program means that a...design and application of analytical and technology tools for Compliance testing > Project management . > Series… more
- Bank of America (New York, NY)
- … Strategy and Roadmap Development + Data Architecture & Modelling + Data Management + Regulatory Compliance **QUALIFICATIONS:** + Bachelors or Masters ... compliance . This role will collaborate with the GRM Data Stewards, Data Users, Data ...following areas - Trading, Consumer Banking, Wealth Management , Transaction Banking + Big Data Architecture,… more
- S&P Global (New York, NY)
- …a key role in shaping the Compliance program and keeping Risk & Compliance management informed of matters & initiatives within the assigned Ratings Practice ... Office and across North America; + Coordinate with local management , staff and compliance management ...an impact on tomorrow. At S&P Global we transform data into Essential Intelligence(R), pinpointing risks and opening possibilities.… more
- Deloitte (New York, NY)
- …Retail Banking, Commercial Banking, Transaction Banking, Wholesale Banking, Cards & Payments, Wealth Management , Investment Management , Real Estate, Private ... Demonstrate understanding of business processes, regulatory requirements, internal control risk management , process, data and technology controls and related… more
- S&P Global (New York, NY)
- …Collaborate with IT and various business units to align data management strategies with organizational objectives and ensure compliance with industry ... sources, uses, and interdependencies. - Facilitate controlled access to data according to organizational needs and compliance ...field. - At least 5 years of experience in data management or governance, ideally within the… more
- Deloitte (New York, NY)
- …trading, operations, lending, compliance monitoring, regulatory reporting, risk or case management , or data management + Experience with process design, ... management and compliance programs, and technology platforms. Our wealth management clients provide direct-to-consumer investment advice and management… more