- US Bank (New York, NY)
- …products and services within US Bank's Wealth Management and Investment Services businesses. This role supports the Audit Director for Wealth ... Management and Investment Services, the Senior Audit Director and the Chief Audit Executive,...service cyclical risk-based audit plan including asset management , institutional investment services, personal trust services… more
- Citigroup (New York, NY)
- The Wealth and Investment Services Products Senior Audit Manager is a senior level management position within the Audit Wealth Team. The Senior ... objective of this role is to execute a robust Wealth and Investment Services Product Audit...+ Demonstrated successful experience in business, functional and people management + Proven ability to execute concurrently on a… more
- Bank of America (Charlotte, NC)
- …focused on activity in Global Markets - Bank of America Securities ("BofAS), and Global Wealth Investment Management - Merrill Lynch, Pierce, Fenner & Smith ... Global Financial Crimes Manager - Global Markets and Global Wealth & Investment Management Risk...applications, as well as ACAM and/ CFE Certification and Audit , Economic Sanctions or Compliance experience preferred. Securities licenses… more
- Morgan Stanley (Baltimore, MD)
- …financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's ... and needs is an important part of our culture. The Morgan Stanley Wealth Management Operational Risk group is responsible for overseeing the operational… more
- Citigroup (New York, NY)
- …corporate and investment banking, securities brokerage, transaction services, and wealth management . Our core activities are safeguarding assets, lending ... consistency in global program design and execution across our wealth management activities. This individual acts as...paced, large global financial services firm in AML, compliance, audit , risk or other controls-focused risk management … more
- Commerce Bank (Kansas City, MO)
- …For more than a century, Commerce Trust has been a leading provider of wealth management services including financial planning, estate and tax planning, ... investment management , private banking and trust administration services. Our approach to wealth management means assembling a team of seasoned wealth … more
- Truist (Charlotte, NC)
- …firm place in the community in order to provide confident and comprehensive wealth management advice and solutions. Utilize objective and sound personal ... service and business development efforts (eg credit, mortgage, planning, investment , trust and fiduciary services, and insurance services) in...* 8 or more years of sales and client management experience in Wealth Management … more
- JPMorgan Chase (Columbus, OH)
- …(AUM) and total client assets at $3 trillion and $4 trillion respectively, JPMorgan Asset and Wealth Management (AWM) is one of the largest asset and wealth ... Morgan Asset Management (AM), and high-net-worth and ultra-high-net-worth clients through Wealth Management (WM), which includes the Private Bank and JP… more
- First International Bank and Trust (Edina, MN)
- …trust, employee benefits, wealth management , investments, and asset management activities. + Certified Fiduciary & Investment Risk Specialist (CFIRS) or ... Wealth Management Compliance Officer Department: Corporate...process. + Assist in coordinating responses to pre-examination and pre- audit information requests and actively interfacing with examiners and… more
- JPMorgan Chase (Irvine, CA)
- JP Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through ... our global network of investment professionals while utilizing the latest technology and resources...latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships… more
- Truist (Dallas, TX)
- …firm place in the community in order to provide confident and comprehensive wealth management advice and solutions. Utilize objective and sound personal ... service and business development efforts (eg credit, mortgage, planning, investment , trust and fiduciary services, and insurance services) in...needed + Five plus years of sales and client management experience in Wealth Management … more
- Charles Schwab (Westlake, TX)
- …one enterprise to deepen client relationships and serve the wealth management needs of retail, registered investment advisers, and employer clients through ... unit (WAS) was created to transform lives through accessible wealth management for every stage of the... Investment Solutions; Managed Investing Portfolio Solutions and Wealth Strategies and Expertise. **Key Outcomes:** + Personal ownership… more
- JPMorgan Chase (Columbus, OH)
- Candidates for this position will work with the Wealth Management Risk function to develop and maintain policies, standards, guidelines, and procedures, ... summary** As a Risk Policy Vice President in the Wealth Management Policy team, you'll collaborate across...business writing skills + 5+ years experience in Wholesale Audit , Compliance, Operational, and/or Regulatory Risk Management … more
- ADP (Springfield, IL)
- …complex relationships with external parties, including insurance, brokerage, consulting, recordkeeping, audit , legal and investment vendors, to ensure procedural ... ADP is hiring a **Senior** **Manager - Health & Wealth in West/Central Market -** **AZ, CA, and/or the IL area.** + Are you ready to join a company offering career… more
- M&T Bank (Norwalk, CT)
- …Consults and coordinates on the delivery of solutions for a comprehensive wealth management strategy for individuals, business owners, and/or families. Serves ... high net worth client segment Proven track record of implementing wealth management strategies **Education and Experience Preferred:** Securities licensing,… more
- M&T Bank (Boston, MA)
- …Consults and coordinates on the delivery of solutions for a comprehensive wealth management strategy for individuals, business owners, and/or families. **Primary ... high net worth client segment Proven track record of implementing wealth management strategies **Education and Experience Preferred:** Securities licensing,… more
- TIAA (Charlotte, NC)
- …operational risk program. Under limited supervision, this job helps inform the Wealth , TIAA Trust, and Complementary Businesses management teams and Board ... + Engagement and second line oversight of key risk programs including investment risk, sales practice risk, issues management , incident losses, business… more
- Truist (Atlanta, GA)
- …rules, regulation, priorities and trends 6. Extensive knowledge of brokerage and investment advisory product and business offerings 7. Audit experience 8. ... job description:** Engage with Business Unit leadership in its management of risks and controls as well as its...activities, trends, and events pertaining to risk, regulatory and audit reviews. Continue to promote various risk initiatives and… more
- US Bank (Charlotte, NC)
- …Audit Manager the Asset Management team and the Audit Director of Wealth Management and Investment Services in providing the Audit Committee ... are seeking an experienced candidate that has strong knowledge of audit , risk management (specifically investment risk) and regulatory expectations at large… more
- Scotiabank (New York, NY)
- …products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital ... Global Banking & Markets provides a full range of investment banking, credit and risk management products...Director, US Corporate Functions Audit to provide audit services to risk management functions, treasury… more