- Citizens (Tarrytown, NY)
- …a high impact senior position within Citizens Private Wealth reporting to our Wealth Management Chief Compliance Officer . This newly created role is ... include: + This leader will serve as the Principal Compliance Officer for a portfolio of regulations...Officer for a portfolio of regulations related to investments/ wealth management/trust activities within Citizens Private Wealth .… more
- Fifth Third Bank, NA (Charlotte, NC)
- …Accountability. Total Base Pay Range + 120,400.00 - 241,300.00 USD Annual #LI-GM1 Chief Compliance Officer - Fifth Third Wealth Advisors LOCATION -- ... Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer , this position is responsible for ensuring policies and procedures… more
- Tompkins Community Bank (Ithaca, NY)
- … Wealth Advisors/Trust Officers focused on client experience and business development; ensure Wealth Advisor/Trust Officer is in compliance with rules and ... appointments; taking and distributing messages; organizing and maintaining files within compliance and regulatory guidelines. + Support Wealth Advisors/Trust… more
- City National Bank (New York, NY)
- …party auditors and/or intermediaries to complete all audits and reviews. * Coordinate with Wealth Management Chief Compliance Officer and CNR Chief ... business units (CNR Fund Administration and CNR Fund Chief Compliance Officer in particular), all third party...all Operational Risk matters. Represent CNR in all Senior Wealth Management Risk Committee matters. Work with CNB Risk… more
- HSBC (Aventura, FL)
- …all share. Wealth is a strategic priority for HSBC and the role of a Wealth Relationship Officer (WRO) is a key supporting role in the achievement of the ... proposition objectives. The securities licensed Wealth Relationship Officer provides sales support to...branch operational procedures + Knowledge of local and Group compliance regulations + Ensure delivery of high-quality client experience… more
- HSBC (Scarsdale, NY)
- …our people, our investors, our communities and the planet we all share. The Wealth Relationship Officer works closely with the Wealth Relationship Manager ... contribute to the overall cost efficiency ratio. As our Wealth Relationship Officer you will: + Provide...to obtain Series 7 and Life and Health In compliance with applicable laws, HSBC is committed to employing… more
- Citigroup (Tampa, FL)
- …person will work closely with Business Leaders in the Citi Global Wealth businesses, Independent Compliance Risk Management (ICRM), Legal, Operations, ... The individual in this Citi Wealth role will work as a senior leader...compliance or regulatory management in the banking or wealth management industry. + Previous experience of interacting and… more
- Morgan Stanley (Washington, DC)
- …its workforce (M/F/Disability/Vet). **Job:** ** Wealth Management* **Title:** *Private Wealth Management Business Service Officer * **Location:** *District of ... through an elevated standard of care. The Business Service Officer (BSO) will report directly to the Complex Business...behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures * Lead, mentor,… more
- Citigroup (New York, NY)
- …We'll enable growth and progress together. The Senior Vice President, Information Security Officer ( Wealth - Digital and Partnership) is an intermediate level ... banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with a brain and a soul, Citi… more
- Berkshire Bank (Glastonbury, CT)
- …Asset Management Department: Berkshire Wealth Management Reports to: SVP, Wealth Management Administration Status: Exempt/ Officer Grade: 12 Pay Range: ... + Support a culture of teamwork and collaboration. + Ensures compliance with all banking laws, rules, regulations, and prescribed policies/practices/procedures… more
- Citigroup (Tampa, FL)
- …of defense (1LoD) teams, governance, processes, and controls.** **The Data Risk Officer -- VP will be responsible for identifying, anticipating, challenging, and ... will support coverage of Citi's US Personal Banking and Wealth organizations on all elements pertaining to data risk...operational risk coverage team.** **Key Responsibilities:** **The Data Risk Officer - VP** **will ideally be an experienced risk… more
- Citigroup (Chicago, IL)
- The Investment Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (Chicago, IL)
- The Relationship Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- HSBC (New York, NY)
- …locally by containing compliance risk in liaison with the Head of Group Compliance , Global Business Compliance Officer , Area Compliance Officer ... Supervisors work closely with the Market Managers and various Wealth teams to ensure proper compliance with...Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance … more
- Morgan Stanley (Menlo Park, CA)
- …SUMMARY:* The Portfolio Management (PM) Associate Director is a vital part of the Wealth Management team who assists Financial Advisors / Private Wealth Advisors ... Management Associate Director works with the Financial Advisor / Private Wealth Advisor to create customized investment plans for clients, creates reporting… more
- Citigroup (Queens, NY)
- Citi Global Wealth brings together the full power of Citi to serve the entire continuum of wealth clients. The unified business supports ultra-high-net-worth ... and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth at… more
- Citigroup (Fullerton, CA)
- Citi Global Wealth brings together the full power of Citi to serve the entire continuum of wealth clients. The unified business supports ultra-high-net-worth ... and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth at… more
- HSBC (Arcadia, CA)
- …we all share. The Wealth Relationship Manager works closely with the Wealth Relationship Officer and the service teams to build meaningful relationships with ... Professionalism client focus, and understanding of the fundamentals of wealth planning will be key as the Wealth...skills + Good understanding of how to work with Compliance , Credit & Risk and Internal Control to ensure… more
- Morgan Stanley (Kansas City, MO)
- *POSITION SUMMARY:* The Wealth Management Associate is often the first point of contact with clients on a broad array of services related to account servicing, ... portfolios. Under the direction of the Financial Advisor / Private Wealth Advisor, this industry professional combines relationship management with marketing skills,… more
- Morgan Stanley (Pepper Pike, OH)
- *POSITION SUMMARY:* The Wealth Management Analyst/Associate is often the first point of contact with clients on a broad array of services related to account ... portfolios. Under the direction of the Financial Advisor / Private Wealth Advisor, this industry professional combines relationship management with marketing skills,… more