- Morgan Stanley (Purchase, NY)
- …to diversifying its workforce (M/F/Disability/Vet)..#LI-JB3 **Job:** ** Compliance * **Title:** * Wealth Management Institutional RIA Compliance Officer * ... Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA compliance program.… more
- Morgan Stanley (Baltimore, MD)
- …to diversifying its workforce (M/F/Disability/Vet). **Job:** ** Compliance * **Title:** * Wealth Management Digital Direct Compliance Officer * **Location:** ... within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments… more
- Citigroup (Miami, FL)
- The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent ... risk management policy and strategic direction + Maintain AML compliance program for the business including assessment of risks...+ Review and assess new products and services in Wealth (Private Banking, Trust, etc.) for inherent AML risk… more
- Citigroup (New York, NY)
- …Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will ... thought leader for Citi for AML matters relevant to Wealth .** **Set, develop, and implement strategic AML compliance... Wealth .** **Set, develop, and implement strategic AML compliance risk management direction for the Wealth … more
- Citigroup (Tampa, FL)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Wealth Independent Assessment Organization's Testing team ... responsible for assessing compliance risks and the related controls implemented by the...6-10 years of experience in Financial Services Industry, particularly wealth advisory and retail investments. + Experience in planning,… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... to the US Capital Markets, US Commercial Banking and Wealth Management lines of business. US Compliance ...rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US… more
- HUB International (Columbus, OH)
- …legal and compliance department. The **S** **VP, Compliance and Risk Officer ** , Hub Retirement and Private Wealth ("RPW"), will be a highly visible, ... senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with the RPW and RPW senior… more
- HSBC (Miami, FL)
- …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
- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Wealth Relationship Officer (WRO) works closely with the Wealth Relationship ... efficiency ratio. Here's what you can expect: As the Wealth Relationship Officer you will provide a...your health and well-being, finances, and lifestyle. **Qualifications** In compliance with applicable laws, HSBC is committed to employing… more
- JPMorgan Chase (Columbus, OH)
- The Wealth Management (WM) Credit Risk team is seeking a Lead Credit Officer - Vice President to manage credit exposure for WM clients, with a primary focus on ... businesses. This role is within the JPMorgan Private Bank, a global wealth management leader that delivers the highest quality advice, service, capabilities and… more
- HSBC (Irvine, CA)
- …The role is not expected to provide securities recommendations to clients. As the Wealth Relationship Officer , you will: + Provide high quality sales support to ... Work is often performed under the direction of registered securities representatives, the Wealth Relationship Manager (WRM). This role is a part of the overall… more
- Banco Popular Puerto Rico (New York, NY)
- …Location: New York, NY, US, 10004 Company: Popular Workplace Type: On-site Administrative Officer - Wealth Management and Private Banking AtPopular,we offer a ... and join our community! National Mortgage US - Operations The Administrative Officer is responsible for third-party service provider oversight and accounts payable.… more
- Citigroup (Tampa, FL)
- …firm and is deeply integrated into the sectors and functions. The Information Security Officer ( Wealth - Investments & Data) is an intermediate level position ... 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
- Citigroup (Irving, TX)
- …and functions. Overview of the Role: The Senior Vice President, Information Security Officer ( Wealth - Investments & Data) is an intermediate level position ... 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
- CIBC (Chicago, IL)
- …holistic relationship of high risk US Capital Markets (CM) and Private Wealth Management (PWM) customers, including changes to the customer's profile, relevant ... related to best practices, efficiencies, and updates to ensure regulatory compliance . + Foster strong, collaborative relationships with members of US AML,… more
- US Bank (St. Paul, MN)
- …and investment management accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. Accountable for client onboarding of Personal Trust accounts and will… more
- Bank of America (Pennington, NJ)
- Compliance and Operational Risk Specialist- Global Wealth & Investment Banking Analytics Charlotte, North Carolina;Pennington, New Jersey **Job Description:** At ... us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance … more
- Citigroup (Burbank, 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
- Morgan Stanley (San Jose, CA)
- *POSITION SUMMARY:* The Wealth Management Analyst's responsibilities include producing strategy reports, synthesizing client/prospect data to develop customized ... and creating and executing marketing strategies to attract new clients. The Wealth Management Analyst focuses on servicing clients by understanding their investment… more
- Morgan Stanley (Peoria, IL)
- *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