- Citigroup (New York, NY)
- …Play a key role in ensuring compliance and operational excellence across global wealth management markets, safeguarding the integrity of our client ... Reporting and Client Tax Operations, ensuring alignment with the global compliance and risk management ...documentation across a diverse range of wealth management products in NAM. Ensure oversight over compliance… more
- Citigroup (New York, NY)
- …person will work closely with Business Leaders in the Citi Global Wealth businesses, Independent Compliance Risk Management (ICRM), Legal, Operations, ... will work as a senior leader across the Citi Global Wealth businesses and functions coordinating regulatory...experience in audit, control, compliance or regulatory management in the banking or wealth … more
- Morgan Stanley (Baltimore, MD)
- * Wealth Management Compliance Testing...* 5 years of Financial Services Industry Experience * Global Compliance Testing Experience a Plus * ... issues * Developing and executing audits in line with global monitoring and testing standards * Maintaining detailed and...learn more about our benefit offerings./ **Job:** **Other* **Title:** * Wealth Management Compliance Testing Tester*… more
- Citigroup (Jersey City, NJ)
- The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/Broker-Dealer and Consumer Wealth is a senior management ... program for the US broker dealer and consumer wealth business lines, manage a team, utilize in-depth specialty...and assist in the implementation of firm-wide AML risk management policy and strategic AML Compliance Risk… more
- JPMorgan Chase (New York, NY)
- …product work and various stakeholders ranging from technology to Legal, Risk and Compliance . **Job Responsibilities** + Working the Global Head of Mortgage ... **About the Global Mortgage Solutions Business** The Global ...implementation, effective communication, and alignment of strategies. + Risk Management : Work closely with legal, risk, compliance … more
- JPMorgan Chase (Columbus, OH)
- The US Wealth Management Legal team is seeking an attorney to support its dynamic annuities, life insurance and wealth management business, who thrives ... and strategy, and providing valuable regulatory insight. As an Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel within… more
- Morgan Stanley (Purchase, NY)
- …financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. Morgan Stanley ... Wealth Management provides a range of wealth management products and services for affluent...and will require close partnership with Alternative Investments, the Global Investment Office (GIO), Legal, Risk, Compliance ,… more
- Morgan Stanley (Purchase, NY)
- …the regulatory and self-regulatory agencies that govern the firm's businesses. Morgan Stanley Wealth Management 's Legal and Compliance Division is seeking to ... * Wealth Management Capital Markets Attorney VP/ED*...Attorney VP/ED* *Company Profile:* Morgan Stanley is a leading global financial services firm providing a wide range of… more
- Citigroup (New York, NY)
- …and offers an elevated financial relationship with a higher level of service and wealth management . Citi Private Bank is dedicated to serving the world's ... **Brief Description of the Organization** Citi, the leading global bank, has approximately 200 million client accounts...making a positive impact on the communities we serve. Wealth brings together the full power of Citi to… more
- Morgan Stanley (San Francisco, CA)
- * Wealth Management Litigation Attorney* *Company Profile * Morgan Stanley is a leading global financial services firm providing a wide range of investment ... banking, securities, investment management and wealth management services....of our culture. *Department Profile* Professionals within Legal and Compliance provide a wide range of services to our… more
- Morgan Stanley (Miami, FL)
- …firm that conducts its business through three principal business segments-Institutional Securities, Wealth Management (WM), and Asset Management . Morgan ... money laundering and reputational risk issues with partners in Global Financial Crimes, Compliance , and the Business...processes set up to complete Enhanced Due Diligence for Wealth Management and US Banks clients including… more
- Citigroup (Jersey City, NJ)
- …MCA Standard through controls after the execution of a process (QA). + Assist management in exercising control over Operational and Compliance Risk in accordance ... that conform to enterprise requirements and support sound operational and compliance risk management . + Apply knowledge of the business, products or services to… more
- Broadridge Financial Solutions (New York, NY)
- …truly matter. Broadridge Financial Solutions is seeking a highly skilled and experienced VP, Wealth Management Architect to join our team. In this role, you will ... align with the business strategies and objectives of the wealth management division. This role involves working...Participate in audits and ensure that architecture adheres to compliance requirements. Project Management : + Lead technology… more
- JPMorgan Chase (New York, NY)
- … Management Investment Risk & Analytics (IR&A) is responsible for review of Global Wealth Management business. IR&A's Client Risk team is responsible for ... and fiduciary activities, metrics, and control activities for JPM Wealth Management (JPMWM). You will work closely...colleagues, the Business, and key control functions including Legal, Compliance , Audit, and Control Management , to provide… more
- HSBC (Washington, DC)
- …qualifications to succeed in this role: + Minimum of 10 years proven Wealth Management supervisory or related investment supervisory experience required. + ... Supervisors work closely with the Market Managers and various Wealth teams to ensure proper compliance with...regulations + Review customer complaints in conjunction with Sales Management and Compliance to ensure proper resolution… more
- Morgan Stanley (Alpharetta, GA)
- …and Readiness, and Regulatory Compliance . The team partners with individual Wealth Management business lines, Legal/Risk/ Compliance , and senior Firm ... Morgan Stanley is a leading global financial services firm providing a wide range...providing a wide range of investment banking, securities, investment management and wealth management services.… more
- Citigroup (New York, NY)
- …more seamlessly deliver relevant product expertise and 2) Strategic alignment of Citi Wealth 's client-facing resources with global wealth creation trends to ... to drive measurable commercial outcomes, by leveraging Citi's iconic global brand and deep client relationships, to partner across...Citi working closely with key stakeholder inside and outside Wealth . + Responsible for business management and… more
- HSBC (Beverly Hills, CA)
- …regulatory, global environment. Ensure the effective implementation of a wealth management planning-led strategy to drive and grow profitable Premier ... HSBC brand in market served + Promote the Group's global brand; promote the bank's profile in the community...Refer to the HNAH Code of Ethics policy and Wealth Management Staff. For this role, HSBC… more
- Citigroup (Los Angeles, CA)
- …worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth at Work. ... Citi Global Wealth brings together the full.... Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the… more
- Citigroup (Greenburgh, NY)
- …worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth at Work. ... Citi Global Wealth brings together the full...+ Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the… more
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