- First National Bank of Omaha (Omaha, NE)
- …is responsible for leading and managing the Bank's Registered Investment Adviser ( RIA ) and Investment risk program, ensuring risk decisions align ... risk , internal audit, or regulatory roles within the Registered Investment Adviser ( RIA ) industry. + **Certification:** Professional License or… more
- Citizens (Tarrytown, NY)
- …address evolving compliance and regulatory requirements related to brokerage, investment advisory and trust supporting Wealth Management. Responsibilities include: + ... and for ensuring the business line and Compliance has the appropriate risk appetite and key risk measures to support compliance. + In addition, the leader will… more
- Citizens (Johnston, RI)
- …Experience in developing Private Wealth risk and compliance programs for dual- registered Broker-Dealer/ Registered Investment Advisor , and RIA ... governance processes. Candidate must possess a strong and in-depth RIA Investment Management knowledge of the rules,... Risk and Compliance experience with advanced Broker-Dealer, Registered Investment Advisor , 12 CFR… more
- Fifth Third Bank, NA (Charlotte, NC)
- …responsible for ensuring policies and procedures for Fifth Third Wealth Advisors, a Registered Investment Advisor are designed specifically to prevent ... is responsible for providing strategic leadership, direction and oversight regarding the Registered Investment Adviser's compliance risk management programs,… more
- HUB International (Bethesda, MD)
- …owned global insurance broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth ... for preparing client reviews and providing administrative support to the advisor 's to ensure our clients experience outstanding service. The successful candidate… more