- Goldman Sachs, Inc. (Dallas, TX)
- …critical functions, including (1) Control Office Management, (2) Control Strategy, (3) Monitoring & Testing , (4) Policy Liaison Group, (5) Regulatory Inventory ... Job Description Asset & Wealth Management Bringing together traditional and alternative investments,...Traceability, and (6) Issue Management. The Monitoring & Testing function will implement an… more
- Goldman Sachs, Inc. (Dallas, TX)
- …Potential Manage all aspects of issue identification, analysis, remediation and monitoring & reporting , including collaboration with issue owners, aggregation ... Job Description Asset & Wealth Management Divisional Overview A career with Goldman...of issues across the business, and facilitation of executive reporting . Proactively identify potential business risks, process deficiencies, and… more
- Wintrust (Chicago, IL)
- …applicable laws, regulatory requirements, and firm policies and procedures Conduct compliance monitoring and testing reviews to evaluate the effectiveness of ... Wintrust Wealth Management serves the financial needs of private...policies, procedures and processes, and contribute to reports on monitoring and testing findings provided to management… more
- CrossCountry Consulting (New York, NY)
- …as an analyst on a broad range of audit, risk assessment, control testing , and risk management projects by conducting fieldwork, testing controls, preparing ... in ongoing projects, including engagement planning, budget development, progress monitoring , and quality control of deliverables Develop a comprehensive knowledge… more
- EY (New York, NY)
- …monitoring them until completion, including documenting requirements, configuration, testing , debugging, project profitability, and tax systems and process ... institutions to dynamic new entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality and Construction.… more
- Scotiabank (New York, NY)
- …as Officer in Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness ... data visualization tools to present findings effectively. Conducts ongoing monitoring activities to stay abreast of changes (business/industry/regulatory), emerging… more
- State Street Corporation (Boston, MA)
- …risk management program as well as the execution and /or oversight of monitoring and testing activities while providing insights on proportionate risk mitigation ... with a global team, cross functionally, to support IRM leaders in monitoring and keeping pace with regulatory obligations, develop risk frameworks, policies,… more
- Citigroup, Inc. (Irving, TX)
- …Manual, monitoring and evaluation of Banking & International, Global Wealth and Markets portfolios, strategies, and credit risks, assessment of the effectiveness ... Review Entity in the Americas region. Responsibilities include execution of Business Monitoring and Reviews in accordance with the Banking & International Credit… more
- Franklin Templeton (Baltimore, MD)
- …key asset classes including alternatives Document FT standards and procedures for monitoring and testing performed by liquidity risk teams. Provide regular ... clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress… more
- Citigroup (Tampa, FL)
- … Reporting & Client Tax Operations Quality Assurance (QA) team in our Wealth division. The Global Regulatory Reporting & Client Tax Operations Quality ... and external review engagements. Ensure all regulatory and tax and corresponding sample testing processes, controls, and monitoring are executed in a timely and… more
- City National Bank (Jersey City, NJ)
- *SR AUDIT MANAGER- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of ... the position is responsible for the maintenance and execution of the Wealth Management continuous monitoring program in accordance with audit methodology… more
- M&T Bank (Wilmington, DE)
- …for new investment products, and implement technologies using Agile best practices. + Reporting to the Head of M&T Wealth Technology, the successful candidate ... Understanding and appreciation of infrastructure; eg network architecture, application monitoring , containerization, virtualization. Experience developing with testing … more
- US Bank (Minneapolis, MN)
- …years' experience in Risk Management or applicable line of business (eg, compliance, testing and monitoring , or audit), preferably in financial services or ... for working closely with key stakeholders in the business line within Wealth , Corporate, Commercial and Institutional Banking (WCIB) and throughout the enterprise to… more
- Neuberger Berman (New York, NY)
- …Salesforce Administrator to overall drive adoption and maintain support for the Private Wealth channel, reporting to the Head of Sales Enablement. The role ... involves enhancing the Private Wealth financial advisor experience by analyzing business processes, identifying...benefits of a given initiative, and the scoping, configuration, testing , and release management for projects to meet channel… more
- Regions Bank (Hoover, AL)
- …the careers section of the system. **Job Description:** At Regions, the Wealth Management Centralized Trading Analyst I performs trading and portfolio management ... for accounts in Asset Management and other portions of Wealth Management. This position is responsible for ensuring ...and is responsible for executing mandatory risk oversight and reporting on the Centralized Trading book of business. **Primary… more
- JPMorgan Chase (Columbus, OH)
- …Your expertise in impact assessment, dependency coordination, execution health monitoring , release readiness, launch planning, and portfolio reporting ... Vice President of Product Delivery for the JP Morgan Wealth Management - Wealth Engagement team, where...adaptability. + Coordinate, plan, and execute end to end testing for each project with the impacted teams, and… more
- TD Bank (New York, NY)
- …tracking database; Prepares and distributes compliance reporting + Oversees compliance testing and monitoring function; Provides advice on FINRA and SEC ... regulatory and compliance concerns + Responsible for the second line-of-defense Compliance testing function to create and execute detailed testing to assess… more
- Comerica (Dallas, TX)
- … plans of compliance risk management activities across the enterprise; executing and reporting second line monitoring , testing , and issue validation ... Job Description Director Compliance Test & MonitorThe Director, Compliance Testing and Monitoring within the second line of defense is responsible for… more
- KeyBank (Brooklyn, OH)
- …(Fiduciary & Trust) is responsible for leading and executing independent compliance testing reviews across KeyBank's Wealth and Fiduciary business lines. ... support issue validation and contribute to initiatives that enhance the overall Wealth & Fiduciary Compliance Testing Program. **Key Responsibilities** + Conduct… more
- Robert Half Finance & Accounting (Houston, TX)
- Description We have an opportunity for a Data & Reporting Specialist to join a large wealth management company near the Downtown Houston area! Hybrid 4/1 ... APX, Tamarac, or Addepar, ideally with industry experience in financial services or wealth management. This position will be responsible for duties such as data… more
