- Raymond James Financial, Inc. (St. Petersburg, FL)
- …supervision, uses knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers ... compliance support in the development and enhancement of compliance oversight programs for investment advisory...and enhancement of compliance oversight programs for investment advisory activities, products and various … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance , including suitability, fiduciary standard, ... guidelines as well as firm policies and procedures governing advisory accounts. The Manager for this team...include - advisory account appropriateness, fiduciary and investment advisory reviews, IAR meetings with clients,… more
- TD Bank (New York, NY)
- …team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will ... assist in the management of the firms compliance program supporting all corporate investment banking...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
- 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
- Citigroup (Jacksonville, FL)
- The Wealth Solutions Advisory Manager provides full leadership and supervisory responsibility. Provides operational/service leadership and direction to team(s). ... and adherence to all regulatory rules and guideless for compliance and risk management. Work affects an entire area,...direction of daily tasks and responsibilities. The Wealth Solutions Advisory Manager will be responsible for insuring… more
- Citigroup (Tampa, FL)
- The IPB Wealth Solutions Advisory Manager accomplishes results through the management of professional team(s) and department(s). Integrates subject matter and ... decisions, disciplinary actions and terminations. The IPB Wealth Solutions Advisory Manager will be responsible for insuring...at the right time to maximize return on campaign investment . + Ensure compliance with internal policies… more
- Wells Fargo (San Diego County, CA)
- **About this role:** Wells Fargo is seeking a Financial Advisory Senior Branch Manager - Non-Producing in Wealth and Investment Management as part of Wells ... in roles with moderate complexity and risk in Financial Advisory functional area + Manage the branch profit and...grow the branch + Identify and recommend opportunities for compliance , regulatory, and administrative issues relating to the branch… more
- Robert Half (Dallas, TX)
- …Where We Need You: The Healthcare Practice is seeking a Healthcare Technology Audit & Advisory Manager to join our growing team. What You Can Expect: Managers ... JOB REQUISITION Dallas Technology Audit and Advisory (Healthcare) Manager LOCATION DALLAS ADDITIONAL...5 + years working in internal audit , assurance, compliance , consulting / advisory services, central business… more
- Charles Schwab (Lone Tree, CO)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will establish strategies and design plans to ensure that asset and service… more
- Robert Half (San Francisco, CA)
- JOB REQUISITION San Francisco Technology Audit & Advisory Manager LOCATION SAN FRANCISCO ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti ... You: Protiviti is looking for a Technology Audit & Advisory Manager to join our growing team...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- Deloitte (Jersey City, NJ)
- …Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) Risk, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more
- T. Rowe Price (Owings Mills, MD)
- …North America Institutional team, providing legal advice and guidance on various institutional investment advisory matters in support of a variety of business ... make a difference. We are a premier asset manager focused on delivering global investment management...numerous internal teams. Reviews presented business issues related to investment advisory activities, conducts legal research and… more
- Deloitte (Columbus, OH)
- …a Tax Manager , you will utilize your prior experience to provide tax compliance and advisory services to investment management clients. You will assist ... have an exciting opportunity for you as a Tax Manager on our growing team! Recruiting for this role...tax filings + Preparing and leading client meetings on compliance and advisory projects related to tax… more
- Deloitte (Philadelphia, PA)
- …equity and investment management industries? Do phrases like "cross border investment advisory " and "fund formation, hold, and exit reporting and consulting" ... Investment Management practice. What You'll Do As a Manager , you will work within an engagement team and...tax filings + Preparing and leading client meetings on compliance and advisory projects related to tax… more
- Enterprise Bank & Trust (Clayton, MO)
- …portfolios for client relationships. + Serves as investment team contact for investment planning and investment advisory issues, in each case ... our communities.** **Together, there's no stopping you!** **Job Title:** Investment Management: Associate Portfolio Manager **Job Description:** **Summary:**… more
- Citigroup (New York, NY)
- …single and multi-asset class products. CIM is currently seeking an experienced Portfolio Manager to join our team of investment professionals. The candidate will ... Wealth Investments that manages assets on a discretionary and advisory basis for clients of Citi. With over $80...investment management and client service functions. The portfolio manager will be located with the US Fixed Income… more
- Deloitte (Seattle, WA)
- …solid understanding of Subchapter K, partnership allocation methodologies, and the tax compliance process for investment partnerships, we have an exciting ... opportunity for you as a Senior Tax Manager on our growing team! Work you'll do As...you will utilize your prior experience to provide tax compliance and consulting services to investment management… more
- JPMorgan Chase (New York, NY)
- …Collaborate with US and global support areas, including Product Controllers, Compliance , Legal, Tax, Audit, Events, Marketing, Expense Management, Risk, Conflicts, ... with visually presenting those messages) skills + Familiarity with Investment Banking products as well as JPM internal systems...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more
- Mizuho Corporate Bank (New York, NY)
- Banking Americas Mizuho's Banking Division provides corporate and investment banking coverage, sponsor coverage, advisory and solutions and loan capital ... operations process, which includes coordinating with our internal operations team, settlements manager , sales and trading personnel, compliance , market risk and… more
- Truist (Mclean, VA)
- …job description:** The Investment Analyst (IA) is responsible for working with Investment Managers and the Investment Advisory Group (IAG) to assist ... for investment communication. The IA assists the Investment Manager in acquiring prospective clients through...portfolios and is responsible for adhering to and documenting compliance with Truist, SunTrust Advisory Services, and… more
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