- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and guidelines as well as firm policies governing advisory accounts. A Senior Advisor, general investment advisory is expected to conduct reviews ... which can include - fiduciary and investment advisory reviews consistent with the ...internal customers to identify, research, and resolve problems. The Senior Advisor in this role will support Raymond James'… more
- TD Bank (New York, NY)
- …team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will ... assist in the management of the firms compliance program supporting all corporate investment banking...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
- Citigroup (New York, NY)
- …of risks, assessing risks, and designing effective mitigation plans specifically for Citi's Investment Advisory programs. The Business Risk - Fiduciary and ... within Citi Wealth. The Director is responsible for proactively enhancing our Investment Advisory Programs by continually evaluating our offering, investment… more
- Citigroup (New York, NY)
- The Senior Executive Assistant provides support to another individual or group of individuals by handling correspondence, managing calendars and appointments, ... supports an entire department + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings,… more
- Marex (New York, NY)
- …www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory… more
- TD Bank (New York, NY)
- …risk. Ideal candidate would have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall ... more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and...Markets Advisory Compliance team helping with large projects… more
- Raymond James Financial, Inc. (New York, NY)
- …the company complies with regulations and good financial practice. Develop and amend investment models to provide input to senior colleagues and/or help manage ... client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and… more
- Wells Fargo (Dallas, TX)
- …under Regulation Z (LO) outlined in the job expectations below + This Philanthropic Senior Advisory Specialist is a specialty fiduciary expert with a focus on ... **About this role:** Wells Fargo is seeking a Senior Philanthropic Advisor - Senior Lead Fiduciary Advisory Specialist (LO) Working at Wells Fargo | Jobs and… more
- Guidehouse (Mclean, VA)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice and currently seeks candidates with relevant financial crimes, fraud,… more
- Charles Schwab (Orlando, FL)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... financial services experience to share with their team of CFP(R) or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will… more
- Robert Half (Miami, FL)
- JOB REQUISITION Miami Technology Audit & Advisory Senior Consultant LOCATION MIAMI ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here T he Protiviti Career ... You: Protiviti is looking for a Technology Audit & Advisory Senior Consultant to join our grow...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- JPMorgan Chase (New York, NY)
- …Bachelor's degree. + Seven years or more years of experience in corporate or investment banking, corporate finance advisory or valuation, with at least five ... team as an Executive Director in the Capital & Advisory Solutions group, where you will leverage your expertise...Review legal documents on existing ESOP deals to ensure compliance . + Work with Associates to prepare detailed financial… more
- Wells Fargo (San Francisco, CA)
- …Individual Retirement Accounts (IRA) **About this role:** Wells Fargo is seeking a Senior Lead Fiduciary Advisory Specialist - Estate Services Working at Wells ... guidance on a variety of banking and fiduciary topics including investment management, general trust administration, specialty trusts, custody, tax, specialty… more
- Robert Half (Dallas, TX)
- …. Where We Need You: Protiviti is looking for an Internal Audit & Financial Advisory Senior Consultant focused on Trust Auditing to join our growing Financial ... JOB REQUISITION Dallas Internal Audit & Financial Advisory (Financial Services - Trust Audits) Senior...trust accounts, fiduciary activities, and internal controls to ensure compliance with federal and state banking regulations. + Ensuring… more
- Robert Half (Los Angeles, CA)
- JOB REQUISITION Los Angeles Internal Audit & Financial Advisory Senior Consultant LOCATION LOS ANGELES ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The ... Protiviti is looking for an Internal Audit & Financial Advisory Senior Consultant to join our growing...PCAOB. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance . + The Institute of Internal Auditors (IIA's) code… more
- SMBC (New York, NY)
- …within area of coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Assists in ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal... Compliance , IT Risk and Training committees. The Compliance Advisory Associate role assists in managing… more
- JPMorgan Chase (New York, NY)
- …and delivery of all required finance and business support. As a Business Manager Senior Associate within the Mergers & Acquisitions Advisory team, you will act ... Collaborate with US and global support areas, including Product Controllers, Compliance , Legal, Tax, Audit, Events, Marketing, Expense Management, Risk, Conflicts,… more
- Robert Half Finance & Accounting (Fort Worth, TX)
- Description Senior Investment Performance Analyst | $20B+ AUM Firm | Fort Worth, TX Are you a numbers-driven professional with a passion for precision and ... Sweet have partnered with a 35+ year established financial advisory firm-managing over $20 billion in assets under management...in assets under management (AUM)-in the search for a Senior Investment Performance Analyst to join their… more
- JPMorgan Chase (New York, NY)
- …to them? You have found the right team! As a Letter of Credit Product Advisory Associate in the Commercial Bank, you will be supporting the team's Vice Presidents in ... the workings of our internal teams, eg, deal team leads, credit, legal, compliance and business management, relating to credit decisioning, product set up and… more