- 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 ... * Provides compliance support in the development and enhancement of compliance oversight programs for investment advisory activities, products and… 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
- Raymond James Financial, Inc. (New York, NY)
- …and private debt and equity financings, mergers and acquisitions and financial advisory . Analyst will contribute and generate ideas during the entire transaction ... Abilities:** **Knowledge of:** * Fundamental concepts, practices and procedures of Investment Banking. * Fundamental investment concepts, practices and… more
- Morgan Stanley (Purchase, NY)
- …that engage Financial Advisors, recruits, clients and prospects, with a focus on Advisory platforms, Financial Planning and our Global Investment Office. * ... sponsored benefit programs. **Job:** **Wealth Management* **Title:** *Product Marketing - Advisory Planning, Investment Solutions - Associate* **Location:** *New… more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... standard and tailored presentations and pitches to clients. * Collaborates with Senior Bankers to develop factual and accurate information that's presented to the… 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 ... Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a...Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer.… more
- Deloitte (New York, NY)
- …(eg, retail investors, qualified plan participants, high-net worth clients). + Deloitte's Investment Management Advisory Practice: Our Investment Management ... Financial Services Risk Management Senior Consultant Our practitioners have the opportunity to...the following Financial Services industries: consumer or corporate banking, investment banking or capital markets, investment management,… 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 ... numerous internal teams. Reviews presented business issues related to investment advisory activities, conducts legal research and...and collaborates with leaders who also serve in an advisory or oversight capacity, such as compliance ,… 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
- 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 ... financial services experience to share with their team of CFP(R) or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will… more
- Robert Half (San Francisco, CA)
- JOB REQUISITION San Francisco Technology Audit and Advisory Senior Manager LOCATION SAN FRANCISCO ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The ... You: Protiviti is looking for a Technology Audit & Advisory Senior Manager to join our growing...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- Robert Half (San Francisco, CA)
- …. Where We Need You: Protiviti is looking for a Technology Audit & Advisory Senior Consultant to join our growing Financial Services team. Protiviti's Financial ... JOB REQUISITION San Francisco Technology Audit & Advisory (Financial Services) Senior Consultant LOCATION SAN FRANCISCO ADDITIONAL LOCATION(S) JOB DESCRIPTION… more
- Truist (Charlotte, NC)
- …dynamic audit plan spanning the Wealth business, including advisory , brokerage/ investment management, lending, fiduciary and trust. Senior Directors may lead ... or examiner experience within financial services wealth businesses; including advisory , brokerage/ investment management, lending, fiduciary and trust. **General… more
- Manulife (Boston, MA)
- …projects simultaneously and may perform hands-on audit work to complete the project. The Senior Manager reports to the Audit and Advisory Services Sr. Director. ... + 6 to 8 years of audit, risk management, operations, or equivalent investment -related business or advisory /consulting experience + University degree required +… more
- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will provide compliance advisory services across ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services to the Marex Solutions Business units.… more
- Deloitte (Charlotte, NC)
- Financial Services Risk, Data & Regulatory, Liquidity - Senior Consultant Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) Risk, Data and ... leadership, and communication skills. The ability to bring together stakeholders and persuade senior clients to act is essential. A genuine passion for the financial… more
- Robert Half (Orlando, FL)
- JOB REQUISITION Orlando Internal Audit and Financial Advisory Senior Consultant LOCATION ORLANDO ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The ... Protiviti is looking for an Internal Audit & Financial Advisory Senior Consultant to join our growing...PCAOB. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance . + The Institute of Internal Auditors (IIA's) code… more
- Deloitte (Columbus, OH)
- …As a Tax Senior , you will utilize your prior experience to provide tax compliance and advisory services to investment management clients. You will assist ... Tax LLP and sector-specific trainings. + Preparing and leading client meetings on compliance and advisory projects related to tax planning opportunities, and the… more
- SMBC (New York, NY)
- …Underwriting, Risk Management, Compliance , IT Risk and Training committees. The Compliance Advisory Vice President role assists in managing a coverage area ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...expertise. Reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko Securities Inc.… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …dedicated to providing the industry's premier independent retirement plan and investment advisory services to employers, executives, and individual investors. ... and 310 team members. Position Objective, Typical Duties, and Responsibilities As a Senior Investment Service Associate, you will play a crucial role within… more
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