- First International Bank and Trust (Edina, MN)
- Wealth Management Compliance Officer Department: Corporate Location: Edina, MN PT/FT/Temporary : Full Time START YOUR APPLICATION ... work for 10 years running. We are currently seeking an experienced and detail-oriented Wealth Management Compliance Officer to join our team at First… more
- Morgan Stanley (Baltimore, MD)
- …workforce (M/F/Disability/Vet). **Job:** ** Compliance * **Title:** * Wealth Management Digital Direct Compliance Officer * **Location:** ... providing a wide range of investment banking, securities, investment management and wealth management services.... Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and… more
- Citigroup (New York, NY)
- …Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will be ... relevant to Wealth .** **Set, develop, and implement strategic AML compliance risk management direction for the Wealth group globally including other … more
- JPMorgan Chase (Columbus, OH)
- The Wealth Management (WM) Credit Risk team is seeking a Lead Credit Officer - Vice President to manage credit exposure for WM clients, with a primary focus ... role is within the JPMorgan Private Bank, a global wealth management leader that delivers the highest...years of professional experience related to financial services, risk management , compliance or legal + Strong decision… more
- Charles Schwab (Westlake, TX)
- …environments of similar scale and complexity. + Experience in leading a sophisticated compliance function within a wealth management and/or advisory ... management program. Schwab seeks a Managing Director, Schwab Compliance , to support the firm's Wealth and...Products and Services. The role reports to the Chief Compliance Officer (CCO) of Charles Schwab Corporation… more
- Morgan Stanley (San Francisco, CA)
- *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...and investment products preferred * Strong understanding of applicable compliance rules, regulations and firm policies * Able to… more
- Morgan Stanley (Pasadena, CA)
- *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...and investment products preferred * Strong understanding of applicable compliance rules, regulations and firm policies * Able to… more
- Morgan Stanley (Columbus, OH)
- *POSITION SUMMARY:* The Wealth Management Analyst's responsibilities include producing strategy reports, synthesizing client/prospect data to develop customized ... clients and creating and executing marketing strategies to attract new clients. The Wealth Management Analyst focuses on servicing clients by understanding their… more
- Citigroup (New York, NY)
- …and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth ... . Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the...but not limited to Small Business Partners, Home Lending Officer , etc.) . Acquire new clients through converting referral… more
- HSBC (Buffalo, NY)
- …macroeconomics/microeconomics/local market developments, and of external regulatory framework relevant to wealth management + Strong client focus and ability to ... Wealth Relationship Manager works closely with the Wealth Relationship Officer and the service teams...trait protected by applicable law. **Job Field:** Asset and Wealth Management **Primary Location:** North America-United States-New… more
- JPMorgan Chase (Columbus, OH)
- Join our Risk Management and Compliance team as a Credit Risk Officer , playing a pivotal role in ensuring JPMorgan Chase's robustness and resilience. You'll ... be part of the Wealth Management Risk team, managing credit risk...quo, and striving to be best-in-class in our Risk Management and Compliance culture. **Job responsibilities:** +… more
- HSBC (Arcadia, CA)
- …macroeconomics/microeconomics/local market developments, and of external regulatory framework relevant to wealth management + Strong client focuses and ability ... other trait protected by applicable law. **Job Field:** Asset and Wealth Management **Primary Location:** North America-United States-California-Arcadia **Req… 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 ... Profile_* The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance...demand for timely and insightful analysis and planning for Wealth Management net interest income (NII). A… more
- Somatus (Mclean, VA)
- …As a member of the Company's senior management team, the VP, Corporate Compliance Officer (CCO) is a catalyst for this mission. The CCO is responsible ... You** We offer more than 25 Health, Growth, and Wealth Work Perks to help teammates learn, grow, and...management team on matters relating to reporting and compliance . The Compliance Officer , together… more
- CIBC (Chicago, IL)
- …degree and/or MBA, CFA, CPA, CFP, JD + 10+ years experience in portfolio management , personal tax, wealth management , financial planning + Comprehensive ... Advising, Investment Planning, Investment Policy, Portfolio Management , Relationship Management , Results-Oriented, Wealth Management At CIBC, we… more
- Morgan Stanley (New York, NY)
- …Officers in the Complex, facilitates the training of all personnel on Morgan Stanley Wealth Management compliance policies and procedures * Assists in the ... *POSITION SUMMARY:* The Private Wealth Management Senior Risk Officer...* Ensures procedures are in place for self‐audits *Risk Management / Compliance /Legal* ** * Monitors and implements procedures… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:** Control Room is part of the ... ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you...insider lists in relation to regulatory requests + Draft Compliance management information reports for various business… more
- Citigroup (New York, NY)
- … 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
- Scotiabank (New York, NY)
- Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of...advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and… more
- Morgan Stanley (New York, NY)
- …equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). **Job:** ** Wealth Management * **Title:** *National Risk Officer * ... providing a wide range of investment banking, securities, investment management and wealth management services....an important part of our culture. The National Risk Officer is responsible for a wide variety of supervisory,… more