- Citigroup (New York, NY)
- …credit, corporate and investment banking, securities brokerage, transaction services, and wealth management . Our core activities are safeguarding assets, lending ... and driving greater consistency in global program design and execution across our wealth management activities. This individual acts as an effective and trusted… more
- Charles Schwab (Westlake, TX)
- …of the companywide compliance risk management program. Schwab seeks a Managing Director , Schwab Compliance, to support the firm's Wealth and Advice Solutions ... & Advice Solutions business unit (WAS) was created to transform lives through accessible wealth management for every stage of the client's journey and brings… more
- Morgan Stanley (Purchase, NY)
- …Stanley sponsored benefit programs. **Job:** **Finance* **Title:** * Wealth Management Finance Balance Sheet Controllers, Director /AVP* **Location:** *New ... financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees… more
- Wells Fargo (Charlotte, NC)
- …Wells Fargo is seeking a Audit Manager - Executive Director on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending ... + Experience in portfolio management , investment strategy, broker/dealer operations, wealth management , fiduciary and trust services. **Job Expectations:** +… more
- BMO Financial Group (Los Angeles, CA)
- …+ Certified Financial Planner is preferred. + Broad knowledge of all facets of wealth management . + In-depth / expert knowledge of Bank products, services and ... Provides advisory-based sales and relationship management to attract, retain and grow a portfolio...Introduces subject matter experts to the client. + Shares wealth solutions expertise and product knowledge across regional team.… more
- US Bank (Minneapolis, MN)
- …Audit Manager - Wealth , Commercial, Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director /Senior ... Director , in providing the Audit Committee and senior management with independent assurance and advisory services designed to...partners and key stakeholders in the following areas: * Wealth Management laws and regulations (eg, Broker… more
- TIAA (Frisco, TX)
- …days in the role) + 10+ years of investment advisory, broker-dealer, and securities regulatory requirements, and 3+ years of management experience + Ability to ... while protecting the broker-dealer and its associates by ensuring adherence to regulatory and firm expectations. As part of the business, the Branch Supervision… more
- Citigroup (New York, NY)
- …compliance with Citi Policies and Regulatory requirements, and driving Strong Risk Management - for USPB Risk, Wealth Risk and Legacy Franchises/Banking & ... International Retail Risk Management . The Wealth Risk Reporting ...with Independent Risk Management and In-Business/Country Risk Management to address new risk monitoring or regulatory… more
- Comerica (Dallas, TX)
- …and talent management . * Maintains knowledge of trends, best practices, regulatory changes, and new technologies in human resources, talent management , and ... DIVISIONAL HR DIRECTOR The Human Resource Director will...the organizations human resource compliance and strategy needs. Risk Management : * Conducts research and analysis of organizational trends… more
- Truist (Atlanta, GA)
- …sales, presentation and relationship management skills previously demonstrated in wealth management in the high net worth marketplace * Excellent ... 1 is responsible for all facets of client relationship management and new business development for SEG personal and...to time. **Responsibilities :** * Reporting to the Sr. Wealth Advisor or Managing Director of SEG… more
- US Bank (New York, NY)
- … Management and Investment Services businesses. This role supports the Audit Director for Wealth Management and Investment Services, the Senior Audit ... audit executive that has strong knowledge of audit, risk management , risk and control frameworks, and regulatory ...+ Performing other duties as requested by the Audit Director and Senior Audit Director . **Preferred Skills/Experience… more
- US Bank (Milwaukee, WI)
- …systemic approach to evaluate and improve the effectiveness of risk management , control, and governance processes. Our comprehensive scope of responsibilities ... the company, making us a valuable resource to executive management as they work to accomplish overall goals and...that the risks are being well managed. The Payments, Wealth , and Investment Products team has audit responsibilities for… more
- Citigroup (Irving, TX)
- …with the audit teams responsible for Markets, Services, US Personal Banking and Wealth Management globally, and supporting the global QA team. The role ... partnerships at all levels within IA. Support the QA Director (QAD) and Senior Audit Manager (SVP) in fostering...subject matter expert in any of the following areas: Wealth management , Cards, Consumer protection rules, Risk,… more
- University of Pennsylvania (Philadelphia, PA)
- …matters related to regulatory submissions, facilitation, and essential document management . As a key stakeholder, the Director represents the ... programs and resources, and much more. Posted Job Title Director of Regulatory Affairs (Abramson Cancer Center)... regulatory coordination teams will perform the day-to-day regulatory document management of clinical research studies,… more
- Scotiabank (New York, NY)
- …range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and ... Director , Internal Control - Global GBM Regulatory...and Market data. Provides oversight and leadership over change management activities related to regulatory reporting and… more
- Morgan Stanley (Purchase, NY)
- …financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees ... its workforce (M/F/Disability/Vet) **Job:** **Fund Services* **Title:** *Fund Services- Regulatory Reporting - Associate/ Director * **Location:** *New… more
- Manulife (Boston, MA)
- …John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At ... opportunity** Accountable for open and closed-end fund shareholder reports and regulatory filings, including compliance with US GAAP and SEC regulations, managing… more
- Stanley Black and Decker (New Britain, CT)
- …training etc. + In-depth knowledge of environmental compliance, health and safety management , regulatory , legal systems, DOT hazardous material & IATA dangerous ... **EHS Director , Distribution Centers (DC) Americas** **Come make the...Centers (DC) Americas is responsible to drive compliance and management system program development and execution and for material… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …will be to drive strategic initiatives and manage model portfolio strategies for wealth management clients within our World MAP Model Portfolio Program. Join ... individual to join Pensionmark Financial Group as our Senior Director of Strategy Management . In this key...minimum of 8+ years of professional experience in investment management and/or wealth management . +… more
- S&P Global (TX)
- **About the Role:** **Grade Level (for internal use):** 13 ** Director , Internal Product Management - Upstream Business Data Processing** **Job Overview:** We are ... seeking an experienced and talented Director of Internal Product Management to lead...the upstream oil and gas industry, including industry trends, regulatory requirements, and key players _This role is limited… more