- Morgan Stanley (Purchase, NY)
- …committed to diversifying its workforce (M/F/Disability/Vet). **Job:** ** Compliance * **Title:** * Wealth Management Compliance Data Analyst* ... makers and the regulatory and self-regulatory agencies that govern the firm's businesses. Wealth Management Compliance Monitoring functions to conduct trade… more
- 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
- Morgan Stanley (New York, NY)
- *POSITION SUMMARY* The Wealth Management Associate is often the first point of contact with clients on a broad array of services related to account servicing, ... quickly and accurately to client questions and concerns. The Wealth Management Associate is an integral member...Wealth Advisors * Prepares performance reports and other data for clients that may involve evaluating account performance,… 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
- 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 ... perspectives and needs is an important part of our culture. The Morgan Stanley Wealth Management Global Investment Office (GIO) is seeking an ambitious research… more
- JPMorgan Chase (New York, NY)
- The Product Manager on the JP Morgan Wealth Management Servicing team will focus on development of platform experience, digital servicing communications, ... personalized data driven insights, and client engagement capabilities for JPMorgan Chase Wealth Management clients. You will develop and refine the… 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
- Tradeweb (New York, NY)
- …matter expert for the data governance platform. + Collaborate with risk management , cyber security, and compliance teams to establish and maintain data ... collaborating with risk management , cyber security, and compliance teams to establish and enforce data ...fertility, egg freezing, adoption and surrogacy expenses. + **Building Wealth - 401(k) Savings Plan** : Employees are immediately… 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
- 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
- S&P Global (New York, NY)
- …the Board of Directors on the operation and progress of Global Financial Crimes Compliance risk management efforts. + Maintain a current awareness of the ... reports to global sanctions authorities and specific license applications. + Support management of Global Financial Crimes Compliance governance bodies and… 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 ... and drafting of responses to regulatory inquiries by obtaining requested trading data , analyzing any potential compliance issues identified, and preparing a… more
- Citigroup (New York, NY)
- …a senior compliance risk officer facing WaW/Citigold/CPC for Independent Compliance Risk Management (ICRM) Sanctions responsible for establishing internal ... required standards; Directing technology solutions that enable effective and efficient compliance risk management solutions. + Supporting investigations and… 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)
- … Compliance advisory services, (ii) education & training, (iii) reporting to compliance management on compliance developments, and (iv) participating in ... ideal candidate should build strong relationships, within the Division and across the Compliance , Risk Management and other key control functions, should be… 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 ... to the businesses. + Communicate with sales and trading management and US Compliance personnel on relevant...and respond to regulatory inquiries by obtaining requested trading data , analyzing any potential compliance issues identified,… more
- Bank of America (Greenwich, CT)
- …leading the overall service delivery model to include the bank's digital offerings and wealth management banking strategy in the market while working with the ... with the market leadership team, Market Executives, Resident Directors, Financial Advisors, Wealth Management Client Associates, and Wealth Management… more
- S&P Global (New York, NY)
- …you will be + Responsible for analysis, design, development, and support of enterprise data management systems. + A people leader managing and supporting global ... service-oriented architectures, SOAP and RESTful APIs. + Experience with Data Management , Data Security, ...for your time on. + Continuous Learning: Access a wealth of resources to grow your career and learn… more
- Broadridge Financial Solutions (Edgewood, NY)
- …current data center technologies, industry trends, and best practices in data center management and strategy Responsibilities: + Execute on strategic vision; ... ensuring alignment with organizational objectives and technological advancements. + Project Management : Lead data center projects, coordinating with cross… more