- Cetera Financial Group, Inc. (St. Paul, MN)
- …in risk management activities, including monitoring the effectiveness of internal controls and procedures, and working with the Chief Compliance Officer to ... and corrective actions Identify and escalate any potential violations to CTC senior management. Prepare all materials related to compliance activities for CTC… more
- State Street Corporation (Boston, MA)
- …This leader will set the end-to-end strategy for the firm's client business (intermediary and institutional) and bring to life the company's investment solutions, ... State Street IM, and working in close coordination with the Chief Business Office and Investments organization, translate this strategy into actionable go-to-market… more
- City National Bank (Los Angeles, CA)
- * SENIOR FIDUCIARY BUSINESS CONTROLS ANALYST* WHAT IS THE OPPORTUNITY? This position will work directly with the City National Bank's ("CNB") Business ... practical impacts/implications to the business line. * Provide guidance on Control Standards to ensure compliance-related controls are documented in line… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Senior Trust Advisor ( Senior Lead Fiduciary Specialist) to join the Trust Services team as part of Wealth and ... outcomes and build an inclusive, collaborative and client-focused environment for our fiduciary professionals + Lead team to achieve business objectives and… more
- US Bank (Milwaukee, WI)
- …such as new vendors, systems, products and segments, by advising on fiduciary risk, informing procedure and control design, participating in Steering ... Reporting:** Establish robust monitoring mechanisms to track risk exposure and control effectiveness. Generate insightful reports for senior management,… more
- Citigroup (New York, NY)
- … Business Risk for Investment Solutions within Citi Wealth. **Responsibilities:** + Senior business leader who will lead and coordinate an integrated approach ... Business risks across the Investments team. The Business Risk Fiduciary and Advisory Solutions Director...compliance and reputational risks and the design of effective controls to support business growth and expansion… more
- PNC (PA)
- …start date. As a Senior Tax Liaison, you will work within the Fiduciary liaison team (trust tax) and the Estate Liaison team (estate settlement). You will work ... opportunity to contribute to the company's success. As a Senior Tax Liaison (C) within PNC's Trust Tax Compliance...tax preparers from an outside accounting firm and PNC Fiduciary Advisors who manage those accounts, serving as the… more
- M&T Bank (Vero Beach, FL)
- …skills Strong organizational skills Strong customer focus Thorough knowledge of fiduciary business including decisioning experience in complex fiduciary ... the phone or in person with clients, advisors, and business partners. + Serve as fiduciary resource...to the Company's risk and regulatory standards, policies, and controls in accordance with the Company's Risk Appetite. Identify… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC ... and guidelines as well as firm policies governing advisory accounts. A Senior Advisor, general investment advisory is expected to conduct reviews which can… more
- Robert Half (Dallas, TX)
- …Talents Include the Following? + Conducting risk-based audits of trust accounts, fiduciary activities, and internal controls to ensure compliance with federal ... for publicly traded institutions + Evaluating the adequacy and effectiveness of internal controls related to trust operations and fiduciary risk management. +… more
- M&T Bank (Bear, DE)
- …and insurance from high net worth customer segment, primarily Retail and Business Banking. Works with Investment Advisors, Fiduciary Advisors, Community ... products and services catered to the needs of the individual client to meet fiduciary standards. + Increase assets under management by meeting with high net worth… more
- PNC (Philadelphia, PA)
- …and have an opportunity to contribute to the company's success. As a Senior Investment Risk Leader within PNC's Asset Management Group organization, you will be ... portfolio investment risk management projects * Monitor and analyze fiduciary investment risks and exposures on a short and...program execution. Typically manages manager(s) and serves as a senior risk advocate for the risk management program. +… more
- Citigroup (Queens, NY)
- …Controls and Risk Management. **Key Accountabilities** + Lead a team of Senior Control professionals supporting members of the Investments Leadership team ... compliance and reputational risks and the design of effective controls to support business growth and expansion...Ability to manage a global team, motivating and engaging senior control professionals. + Experience driving results… more
- JPMorgan Chase (Jersey City, NJ)
- …skills, with the ability to establish credibility and build strong partnerships with senior business and control partners + Strong analytical skills ... of information in accordance with firm policy + Partner with stakeholders, business management, other control groups (ie risk management, compliance, fraud… more
- M&T Bank (Los Angeles, CA)
- …external sources, and the retention and expansion of an assigned book of business . Consults and coordinates on the delivery of solutions for a comprehensive wealth ... management strategy for individuals, business owners, and/or families. **Primary Responsibilities:** + Leads the client relationship team and has overall… more
- M&T Bank (Wilmington, DE)
- …and deposits) or introduce additional value-add solutions, including credit, planning, fiduciary , family office services, etc. + Participate in Wealth Advisor-led ... and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the Company's Risk Appetite. Identify risk-related issues needing… more
- PNC (Cleveland, OH)
- …success. We are looking to hire a Compliance Program Specialist Senior within PNC's Independent Risk Management's Compliance organization supporting the Asset ... Management Group (AMG) line of business . This position can be based in one of...*Prior working experience in Compliance or Audit *Knowledge of fiduciary activities specific to 12 CFR 9 and/or ERISA… more
- First Horizon Bank (Memphis, TN)
- …risk and advise management of such risks. + Ensure adherence to sound internal controls by ongoing monitoring of BWise ( Control ) inventory. + Work with internal ... We collaborate with each other and with our internal business partners to delight our customers. We believe in...their customers one opportunity at a time. **Summary:** The Senior Compliance Officer is primarily responsible for helping to… more
- AON (Chicago, IL)
- …with us. Apply now and be part of an exciting journey! Aon is in the business of better decisions At Aon, we shape decisions for the better to protect and enrich ... and resolution of OOB positions for all Trade and Non/ Fiduciary intercompany balances + Manage the settlement process of...Analysis and H&W Month End Balance Sheet Review (SOX Control ) + Review & analyze the Geared Incentive Accrual… more
- Edward Jones (St. Louis, MO)
- …the volume of applicants. In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones ... Trust Company's business and our commitment to bring to life the...the Trust Company has an effective system of internal controls and complies with applicable laws and regulations while… more
