- Morgan Stanley (Baltimore, MD)
- …mybenefits.morganstanley.com to learn more about our benefit offerings./ **Job:** **Other* **Title:** * Wealth Management Compliance Testing Tester* ... WM Compliance Tester conducts various reviews throughout Wealth Management . The focus of the reviews...The person in the role will assist the WM Compliance Testing in completing its annual test… more
- M&T Bank (Clanton, AL)
- …position would support the testing of M&T Securities, Institutional Services & Wealth Management Marketing, The Volcker Rule and other regulations covered ... under the Institutional Services & Wealth Management umbrella. **Position Responsibilities:** + Interface...opinions are effectively challenged. + Review test findings with testing management and other compliance … more
- JPMorgan Chase (Tampa, FL)
- …striving to be best-in-class. As the Head of Testing within the Monitoring and Testing team for Wealth Management (WM) Solutions, you will play a crucial ... role in supporting the newly established Control Management Testing Center of Excellence (TCoE). This...Knowledge of compliance and regulatory requirements for wealth management activities JPMorgan Chase & Co.,… more
- Citigroup (Tampa, FL)
- …high-net-worth customer relationship tiers of Citigold(R) and Citigold Private Client and offers wealth management in the workplace through Citi Global Wealth ... The Wealth Products and Operations Control Testing ...+ Supports team members on topics ranging from control testing design to performance management and control… more
- Citigroup (New York, NY)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments (ie, ... client-facing) businesses. This position reports to the Wealth Client Segments Control Testing Lead, within...+ Supports team members on topics ranging from control testing design to performance management and control… more
- Citigroup (Irving, TX)
- …around data management and data analytics. This position reports to the Wealth Controls Testing Head within the USPB- Wealth -Common Control Testing ... Necessitates a degree of responsibility over technical strategy. Responsible for supporting the Wealth Controls Testing Head on control testing automation… more
- Citigroup (Jersey City, NJ)
- …enterprise wide and horizontal risk assessments, self-assessment, internal audit, and compliance testing review + Appropriately assess risk when business ... The Compliance Anti-Money Laundering (AML) Risk Management ...Management Director for US Retail Brokerage/Broker-Dealer and Consumer Wealth is a senior management level position… more
- JPMorgan Chase (Columbus, OH)
- …reduce system false positives + Work collaboratively with various wealth management teams including Field, Product, Risk, Control, Compliance , and Legal in ... JP Morgan Wealth Management provides individuals, advisors and...as influence cross-functional stakeholders including but not limited to Compliance , Risk, Controls, Operations, and Technology. **Job responsibilities** +… more
- Morgan Stanley (Miami, FL)
- …financial services firm providing a wide range of investment banking, securities,investment management and wealth management services. The Firm's employees ... Morgan Stanley is seeking a strong candidate for its Wealth Management Branch Examination team. The ideal...with the skill to make independent decisions associated with Compliance testing procedures - Enthusiastic, disciplined and… more
- Neuberger Berman (New York, NY)
- …opening and maintenance. + Provide advice regarding regulatory matters appropriate for a wealth management and asset management business, including the ... Compliance Department, specifically with respect to the Private Wealth business. The ideal candidate will have experience in...documents relating to private funds offered through the Private Wealth channel, and advising on and testing … more
- Citigroup (New York, NY)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments ... reports to the Wealth Client Segments Control Testing Head within the Control Testing Utility...Leader is a subject matter expert on projects, initiatives management , use of analytics and tracking to keep the… more
- CIBC (Boston, MA)
- …please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) Job Description The Audit Senior - Wealth Management is responsible for: 1) the timely execution ... audit team members. The position will focus on the Wealth Management line of business audit portfolio,...Document audit procedures in a quality manner and in compliance with the IIA Standards and department's audit methodology… more
- CIBC (Chicago, IL)
- …aligning with business on priorities, reporting, and Line of Business specific change management within Private Wealth Management (PWM) and Private Banking. ... to deliver high quality processes and procedures while ensuring compliance with CIBC requirements standards, work practices, processes, security...3-5 years in a role with exposure to Private Wealth Management with an understanding of … more
- City National Bank (Dallas, TX)
- **MANAGER OF AUDIT II- WEALTH MANAGEMENT ** **WHAT IS THE OPPORTUNITY?** The Audit Manager II position is a leadership role as an auditor-in-charge to guide a ... supervises and reviews the work of others, analyzes and synthesizes results of testing performed, effectively communicates results to senior management to affect… more
- HUB International (Wilmington, MA)
- …property, casualty, risk management , life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB means ... an **Account Manger** to join our Retirement and Private Wealth team. The selected employee will be responsible for...+ Data collection and analysis + Completion of all compliance testing (ie, top heavy, 410(b), 402(g),… more
- ADP (Miami, FL)
- …business goals. + Provides reporting and associated analytics/ visibility to management stakeholders in support of decision making. + Maintains current knowledge ... to delivery. + Effectively takes initiative from discovery, design and testing to implementation, validation and post-production activities. + Project Management… more
- BMO Financial Group (Chicago, IL)
- Deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk ... support to various internal business partners across the Wealth Management businesses. - Prepare reports and...management . **Qualifications:** - 7+ years' experience in a compliance , control testing , or audit role ideally… more
- Morgan Stanley (Miami, FL)
- …firm that conducts its business through three principal business segments-Institutional Securities, Wealth Management (WM), and Asset Management . Morgan ... incentive packages, and other Morgan Stanley sponsored benefit programs. **Job:** ** Wealth Management * **Title:** *Financial Crimes Program Design: Architecture… more
- Citigroup (New York, NY)
- …banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management . As a bank with a brain and a soul, ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies that… more