- Charles Schwab (Westlake, TX)
- …to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker-Dealer and Investment Adviser programs. Though this is ... with a general understanding of broker-dealer, financial holding company, bank, and investment advisory businesses, as well as testing standards/methodologies +… more
- Truist (Charlotte, NC)
- …and proactively identifying, mitigating, and managing risks within Corporate and Investment Banking - Investment Banking Coverage, Capital Markets Origination ... and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …arise related to client accounts. * Monitors and keeps up to date with advisory regulations. * Assists in researching Supervision, Compliance and other issues. * ... * General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager /FA trading activity. **Skill in:**… more
- AON (Chicago, IL)
- Aon Investments USA is looking for Senior Manager , Investment Compliance As part of an industry-leading team, you will help empower results for our clients ... investment team. Your impact as a Senior Manager , Investment Compliance Aon Investments...Director on the development and delivery of training to investment advisory staff on policies and procedures… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …large or multiple testing projects with significant scope and impact for the Investment Advisers Act of 1940 Section 206(4)-7 compliance obligations. Works ... identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a controls… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more
- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses. This role will ... make a difference. We are a premier asset manager focused on delivering global investment management...industry. Responsibilities + Assist the Head of North America Compliance in overseeing and managing the firm's investment… more
- Avanade Inc. (Charlotte, NC)
- Group/Senior Manager , Digital Manufacturing Advisory Pair your adaptable, collaborative, curious mindset with your tech skills to help clients digitally ... help a non-profit better serve kids with needs? An Advisory role at Avanade offers you a purposeful career....expertise to reduce costs, boost performance, and ensure industry longevity/ compliance . What you'll do * Drive market demand in… more
- Wells Fargo (Charlotte, NC)
- …role:** Wells Fargo is seeking a Lead Product Manager - Client Directed Advisory Programs to join the Investment Solutions organization in Wealth and ... (FAs) and risk and governance teams. The Lead Product Manager is a subject matter expert on Advisory Products from an operational, compliance and analytical… more
- Wells Fargo (Philadelphia, PA)
- …It all begins with you. **About this role:** Wells Fargo is seeking a Fiduciary Advisory Senior Manager Working at Wells Fargo | Jobs and Careers at Wells ... internal partners and peers associated with integrating fiduciary and prudent investment standards and knowledge, wealth planning knowledge, investment judgment… more
- TD Bank (Chicago, IL)
- …details for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** 190,000 - 250,000 USD TD is committed to providing fair… more
- Charles Schwab (Phoenix, AZ)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... services experience to share with their team of CFP(R) or CFA(R) investment professionals. **Managing change-** The Senior Regional Manager will establish… more
- Robert Half (Chicago, IL)
- JOB REQUISITION People Advisory & Organizational Change Senior Manager LOCATION CHICAGO ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti ... firm. Where We Need You: Protiviti is looking for a People & Change Senior Manager to join our growing Business Performance Improvement team. What You Can Expect: As… more
- Deloitte (Jersey City, NJ)
- …and Financial Advisory Risk, Data and Regulatory Liquidity - Senior Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) Risk, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more
- American Express (New York, NY)
- …needs of the company are met while closely partnering with Treasury Organization. This manager role is within the Advisory and valuation team of GTC and ... is responsible for leading accounting, valuations and advisory functions pertaining to Treasury organization. The individual is also responsible for ensuring… more
- HUB International (Gardner, MA)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB ... We currently have an opportunity for an **Assistant** **Account Manager ** (with potential for hybrid work) to join our...(with potential for hybrid work) to join our **Client Advisory Team.** The selected employee will be responsible for… more
- Alight (IL)
- …consulting skills, driving to best practices (3 years) + Understanding of investment advisory solutions and the marketplace including competitors, market ... **Customer Success Client Manager ** Are you passionate about building relationships and ensuring company success? Are you excited by the prospect of creatively… more
- HUB International (Gardner, MA)
- …500 offices across North America. We currently have an opportunity for an **Account Manager ** on our **Client Advisory Team.** The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- HUB International (South Hadley, MA)
- …their own unique, regional culture. We currently have an opportunity for an **Account Manager - Client Advisory Team** . The selected employee will be ... array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB… more
- First National Bank of Omaha (Omaha, NE)
- …and previous success in Sales Management and/or Minimum of 5 years of investment advisory experience. + Working knowledge of all standard concepts, products, ... based on business needs. **Summary of the Job:** The Director of Financial Advisory Services is accountable for the management and coaching of the Financial Advisors… more