- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more
- Wells Fargo (Walnut Creek, CA)
- **About this role:** Wells Fargo is seeking a Financial Advisory Branch Director - Non-Producing in Wealth and Investment Management as part of Wells Fargo ... contributors in roles with moderate to high complexity and risk in Financial Advisory functional area + Manage multiple branch profit and loss statements, develop… more
- Robert Half (Pittsburgh, PA)
- JOB REQUISITION Pittsburgh Technology & Advisory Associate Director LOCATION PITTSBURGH ADDITIONAL LOCATION(S) JOB DESCRIPTION Technology Audit & Advisory ... You: Protiviti is looking for a Technology Audit & Advisory Associate Director to join our growing...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- Truist (Charlotte, NC)
- …a comprehensive, dynamic audit plan spanning the Wealth business, including advisory , brokerage/ investment management, lending, fiduciary and trust. Senior ... or examiner experience within financial services wealth businesses; including advisory , brokerage/ investment management, lending, fiduciary and trust. **General… more
- Cushman & Wakefield (Atlanta, GA)
- **Job Title** Director , Data Center Advisory Team - Americas Region **Job Description Summary** The Opportunity & Purpose of the Role The opportunity is to ... EMEA/APAC plan and providing substantiated financial forecasting and clearly defined capital investment asks needed to deliver the 3-year plan. As new transactional… more
- First National Bank of Omaha (Omaha, NE)
- … compliance with SEC requirements across business functions, including investment management, client communications and trading practices. + Support change ... is responsible for leading and managing the Bank's Registered Investment Adviser (RIA) and Investment risk program,...risk management model, improving speed to market while ensuring compliance . **About This Role:** This role is pivotal in… more
- TD Bank (New York, NY)
- …to securities laws and regulations. Collaborate closely with internal stakeholders, including investment bankers, product groups and compliance as well as ... and broad expertise in Capital Markets and other corporate advisory matters to join our dynamic legal team at...implement internal policies and procedures across the corporate and investment banks. + Potential for the management of members… more
- SMBC (New York, NY)
- …business partners to advise on compliance matters and interpret rules. This Compliance Advisory Director will be primarily focused on providing oversight ... a competitive portfolio of benefits to its employees. **Role Description** The Compliance Advisory function assists in supporting internal stakeholders regarding… more
- Citigroup (New York, NY)
- …raising funds in the capital markets, as well as in providing strategic advisory services for mergers, acquisitions and other types of financial transactions in ... strategies and raising capital for clients. **Responsibilities:** + Leverage past investment banking or related experience to enhance Mergers and Acquisitions (M&A)… more
- Manulife (Boston, MA)
- …work to complete the project. The Senior Manager reports to the Audit and Advisory Services Sr. Director . Additionally, the Senior Manager has a strong influence ... + 6 to 8 years of audit, risk management, operations, or equivalent investment -related business or advisory /consulting experience + University degree required +… more
- City of New York (New York, NY)
- …limited to, capital calls and distributions, amendment requests, consent notices and compliance with investment agreements; Measure and present financial and ... Asset Management (BAM) is responsible for oversight of the investment portfolios of the five New York City pension...The DCIO will oversee this effort led by our Director of Diverse and Emerging Manager Strategy and will… more
- KPMG (Mclean, VA)
- **Business Title:** Director , Markets Compliance **Requisition Number:** 118215 - 97 **Function:** Advisory **Area of Interest:** **State:** VA **City:** ... find new areas of inspiration and expand your capabilities, then consider a career in Advisory . KPMG is currently seeking a Director to join our Advisory … more
- Robert Half Finance & Accounting (San Francisco, CA)
- …role will be highly consultative and will also have great mentorship from the Director of the team and the CFO. This position will be compensated generously ... advisors on strategies to minimize tax liabilities and ensure compliance with tax regulations + Plan for and review...with ultra-high net worth clients and will have prepared investment partnership and fiduciary tax returns + Understanding of… more
- BlackRock (New York, NY)
- **About this role** **_Summary:_** The Americas Advisory Compliance team is seeking an experienced, self-motivated compliance professional to manage, ... years of asset management or similar experience either in a Control Room, Portfolio Compliance , or Advisory Compliance working with MNPI and/or information… more
- Friedman Management Company (Farmington Hills, MI)
- Commercial Real Estate Broker - Investment Sales Job Details Level Experienced Job Location Corporate Office - Farmington Hills - Farmington Hills, MI Job Category ... mobile full-service platform in the Detroit area markets. We are seeking commercial investment sale brokers who are looking to provide their clients with tools,… more
- Charles Schwab (Lone Tree, CO)
- …on planning & investment advice tools, to help our retail and advisory partners deliver, improve, and deepen advice to clients. **The Role:** The Director ... **Your opportunity** The ** Director , SCFR Advice Tools** will lead a small...and tools to deliver calculations, guidance or advice on investment planning, retirement planning, and other topics critical to… more
- Charles Schwab (Westlake, TX)
- …Schwab Corporation (CSC) Corporate Compliance Department coordinates the Company's compliance efforts and performs an advisory , monitoring, testing and ... obligations of the team leading the program have also significantly evolved. The Compliance Risk Assessment and Regulatory Inventory Director is a key leadership… more
- BlackRock (San Francisco, CA)
- **About this role** The BTC/ERISA Compliance Director will help to lead the compliance programs for BlackRock Institutional Trust Company, NA, a national ... requires strong knowledge of ERISA requirements, and experience building and implementing compliance programs. The Compliance Director must possess excellent… more
- Vanguard (Malvern, PA)
- …serves as a member of the leadership team aligned to Vanguard's fund and investment advisory oversight activity and is a senior leader with responsibility for ... potential for violations and noncompliance related to Vanguard's business activities and investment products. + Leads strategic compliance support related to… more
- Citizens (Tarrytown, NY)
- …evolving compliance and regulatory requirements related to brokerage, investment advisory and trust supporting Wealth Management. Responsibilities include: ... Citizens Private Wealth reporting to our Wealth Management Chief Compliance Officer. This newly created role is responsible for...+ This leader will serve as the Principal Compliance Officer for a portfolio of regulations related to… more