- WSFS Bank (Wilmington, DE)
- …advancement opportunities, and moreWe are the region's locally headquartered bank and wealth management companyWe are honored to consistently be named a Top ... review, redline, and negotiation of contractual documents at WSFS Bank in compliance with the Third-Party Risk Management (TPRM) ProgramThe incumbent will assist in… more
- Charles Schwab (Westlake, TX)
- … risk management program. Schwab seeks a Managing Director , Schwab Compliance , to support the firm's Wealth and Advice Solutions business unit and to ... to help our clients and one another succeed. The Managing Director , Schwab Compliance , is...scale and complexity. + Experience in leading a sophisticated compliance function within a wealth management and/or… more
- Scotiabank (New York, NY)
- Managing Director , Engineering & International Wealth Lead **Requisition ID:** 198264 **Employee Referral Program - Potential Reward:** $0.00 **Salary ... to investing in our employees and helping you continue your career at Scotiabank. ** Managing Director , Engineering and International Wealth Lead - New York… more
- Citizens (Pittsburgh, PA)
- …new opportunities, think beyond your role and make an impact! As the Finance Director , you will provide valuable financial leadership and direction for the Private ... Wealth Manager Team within Citizens Bank, playing a key...creating a positive and high-achieving culture. + The finance director also plays a major role in the strategic… more
- TIAA (Charlotte, NC)
- …objectives. **Key Responsibilities and Duties** + Ensures broker-dealer associate compliance with applicable regulations and firm policies. + Establishes and ... supporting business initiatives. + Supervises the development and interpretation of compliance policies and supervisory routines. + Directs the development of… more
- HUB International (New York, NY)
- …their excellence throughout the insurance community. **About HUB Retirement & Private Wealth (RPW):** We lead our communities with integrity, driven to make things ... together, focused on the tomorrows for all. The HUB Retirement & Private Wealth (RPW) Business Consulting team presents a unique opportunity to develop and deploy… more
- JPMorgan Chase (Irvine, CA)
- …advice and to deliver sophisticated products and solutions to meet their generational wealth management needs. As a Supervisory Director in Chase Wealth ... JP Morgan Wealth Management provides individuals, advisors and institutions with...are functioning + Ensure timely and effective responses to compliance , supervision and audit examinations on a priority basis… more
- US Bank (Minneapolis, MN)
- …Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director /Senior Audit Director of the Risk Management ... and Compliance audit team. This role supports the Audit Director /Senior Audit Director , in providing the Audit Committee and senior management with… more
- Citigroup (New York, NY)
- …Wealth Risk and Legacy Franchises/Banking & International Retail Risk Management. The Wealth Risk Reporting Director role and function is responsible for ... a global focus for risk management strategy/execution oversight for compliance with Citi Policies and Regulatory requirements, and driving...will be an integral member of that leadership The Director of the Wealth Risk Reporting team… more
- Truist (Atlanta, GA)
- …Specific activities may change from time to time. **Responsibilities :** * Reporting to the Sr. Wealth Advisor or Managing Director of SEG Sales, the SEG ... to client, industry, or product. * Works with Sr. Wealth Advisor or Managing Director ...and procedures regarding legal, operating and regulatory risk and compliance . * Engages and participates in Sports & Entertainment… more
- US Bank (New York, NY)
- … Wealth Management and Investment Services businesses. This role supports the Audit Director for Wealth Management and Investment Services, the Senior Audit ... by integrating other internal audit subject matter teams (Anti-Money Laundering, Compliance , Risk Management, Data, Operations, etc.) to ensure appropriate and… more
- Morgan Stanley (Alpharetta, GA)
- …share plan administration business. This position will report directly to the Managing Director responsible for overall legal oversight of Morgan Stanley ... business agreements Work collaboratively with colleagues in the Legal and Compliance Division and Risk Department responsible for Morgan Stanley's broker-dealer and… more
- Wells Fargo (Los Angeles, CA)
- …and Operational Excellence. **\#LegalDeptJobs** **The Role** This Associate General Counsel and Managing Director will lead a newly created section of legal ... Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 41 on Fortune's 2022… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Managing Director , Interest Rate Derivatives At Capital One, we are a Top 10 US Bank, ... to Energy and TMT. **Overview:** Our Capital Markets team is looking for a Managing Director , Interest Rate Derivatives. This individual will be a key player… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …dust, noise, temperature and the like. + Extended viewing of a CRT screen. Compliance Director LOCATION -- Cincinnati, Ohio 45227 Fifth Third Bank, National ... Change management Committee. + Areas of responsibility and accountability within compliance Include: consumer, commercial, Wealth & asset management, testing… more
- Manulife (Boston, MA)
- …Accountable for open and closed-end fund shareholder reports and regulatory filings, including compliance with US GAAP and SEC regulations, managing the Funds' ... Disclosure Controls and Procedures (DC&P) processes, and Sarbanes-Oxley (SOX) compliance . This includes a lead role in managing the Funds' Accounting Policy… more
- BMO Financial Group (Sacramento, CA)
- …Market Executive will actively recruit, develop, and coach the team around managing critical middle market relationships with the primary focus of gaining market ... the integrated BMO OneClient focus across all lines of business including Wealth , Retail, Small Business, and Capital Markets. Facilitates growth initiatives for the… more
- Morgan Stanley (Walnut Creek, CA)
- …new business opportunities, and overseeing client meetings and events. The Group Director supports the Financial Advisor / Private Wealth Advisor team ... opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). **Job:** ** Wealth Management* **Title:** *Group Director **Location:** *California-Walnut… more
- Morgan Stanley (Glens Falls, NY)
- …new business opportunities, and overseeing client meetings and events. The Group Director supports the Financial Advisor / Private Wealth Advisor team ... Morgan Stanley EOE committed to diversifying its workforce. M/F/D/V **Job:** ** Wealth Management* **Title:** *Group Director **Location:** *New York-Glens Falls*… more
- Rochester Institute of Technology (Rochester, NY)
- **8692BR** **Position Title:** Senior Director of Prospect Development **Organization:** Development **Job Responsibilities:** Major Responsibilities + Set the ... + Coordinate all prospect research - including establishing priorities and managing research workflow to ensure deadlines are successfully met and align… more
