- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, ... you will provide critical analysis and discussion of wealth management -specific regulatory issues, ongoing support of investment products distribution issues,… more
- Citigroup (Irving, TX)
- …design of new products to the end-to-end customer experience. + Strong knowledge of wealth management , broker dealer , investment adviser functions ... candidate would have experience auditing financial advisors and supervisory functions of broker dealer or investment adviser firms. + Perform moderately complex… more
- Insight Global (New York, NY)
- …materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- Edward Jones (St. Louis, MO)
- …and investment advisers to retail clients. Familiarity with regulation from a perspective wealth management , including broker - dealer and investment ... legal advice and guidance to legal, compliance, and business colleagues involving broker - dealer rules and regulations under the federal securities laws,… more
- Raymond James Financial, Inc. (New York, NY)
- …minimum of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially ... of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management...products and an understanding of the market standard risk management practices . Broker - dealer supervisory… more
- TIAA (New York, NY)
- …and/or brokerage as well as product development and management . + Experience in wealth and broker / dealer risk management . + Experience working ... Level** 9IC **Required Qualifications:** + 5+ years of risk management experience in wealth management ,...audit. **Preferred Qualifications:** + University degree + Significant risk management experience within a wealth , trust and/or… more
- Wells Fargo (West Des Moines, IA)
- …compensating controls that mitigate audit findings and make recommendations to management + Inform manager of situational issues that might compromise objectivity ... or independence + Design and execute tests to verify control effectiveness + Document work papers according to the standards of the Internal Audit policy and guidance + Demonstrate professional skepticism while performing major components of audits + Lead… more
- Citizens (Johnston, RI)
- …the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. + ... attorney to serve as Associate General Counsel supporting the Wealth Management Division of the Citizens Consumer...legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal… more
- Guardian Life (New York, NY)
- …laws, regulations, and compliance standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment ... the Compliance department's efforts in supporting the implementation of new retail wealth management products and services. + Prepare relevant compliance metrics… more
- Foresters Financial Services (Westbury, NY)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- Foresters Financial Services (Cleveland, OH)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... The Private Wealth Alternatives market, with an estimated $2 Trillion in...contact broker - dealer firms to identify avenues for increased penetration,… more
- Equitable (Philadelphia, PA)
- Wealth Management Advisor - PA, Philadelphia...+ Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's ... broker /dealers LPL * + Our elite benefits and wealth -building programs + Our competitive payouts + Our operation...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more
- JPMorgan Chase (Los Angeles, CA)
- The Private Client experience at JP Morgan offers a pathway to Wealth Management through comprehensive, expert planning. The Private Wealth Planner (PWP) ... a JP Morgan Private Client, marking the initial engagement of bank-only clients with Wealth Management . As a Vice President, Private Wealth Planner within… more
- Neuberger Berman (New York, NY)
- …& Governance - Private Wealth ** **Location:** New York, NY **Department:** Private Wealth Management (PWM) **Reports to:** Head of Private Wealth Client ... highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities +...controls, risk management , audit, or compliance within Wealth Management , Private Banking, or a similar… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... is part of JP Morgan Private Markets in Asset Management . With over $67 billion in AUM, the Real...share for our real estate products through the Private Wealth channel. Within this role, you will be a… more
- JPMorgan Chase (Fayetteville, NY)
- …to offer the best investment solutions to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management , you will offer comprehensive ... will possess strong analytical skills, a deep understanding of wealth management , and the ability to collaborate...offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA… more
- City National Bank (Charlotte, NC)
- …and Employee Benefit Trust Administration, Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking ... *AUDIT MANAGER II- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Audit Manager II position is a leadership role as an auditor-in-charge to guide a team of… more
- JPMorgan Chase (Chicago, IL)
- JP Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through ... while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients to provide… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations. + Wealth Planning offerings and partnerships, ... **Knowledge, Skills, and Abilities** **Knowledge of** + Advanced concepts of private wealth management planning; investment management ; and specialized… more