- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers Act, state ... * Provides compliance support in the development and enhancement of compliance oversight programs for investment advisory activities, products and various… more
- Deloitte (Charlotte, NC)
- Financial Services Compliance Senior Manager Our practitioners have the opportunity to engage a diverse and challenging portfolio of projects which include ... critical to the success of our clients. As a Senior Manager , you will have opportunities to:...+ Direct working experience related to product management, regulatory compliance , risk management or controls oversight + Direct working… 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
- 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 (New York, NY)
- JOB REQUISITION New York Technology Audit & Advisory Senior Manager LOCATION NEW YORK CITY ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The ... You: Protiviti is looking for a Technology Audit & Advisory Senior Manager to join...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… 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...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- Deloitte (Columbus, OH)
- …come travel the world in our world! What you'll do As a Senior Manager on our Global Trade Advisory team, you will participate in engagements requiring ... US and foreign multinational companies on global import and export strategies, compliance , and technology enablement. The Global Trade Advisory practice is… more
- Charles Schwab (Lone Tree, CO)
- …specialized products to meet income generation, risk mitigation, and liquidity needs. As a ** Senior Regional Manager ** you will coach and counsel a team of 10-12 ... focused, invests in your growth, and values your contributions, consider a career as a Senior Regional Manager . **What you have** **What you are good at** -… more
- Manulife (Boston, MA)
- …and may perform hands-on audit work to complete the project. The Senior Manager reports to the Audit and Advisory Services Sr. Director. Additionally, the ... innovative ideas to deliver efficient, effective, and insightful audit results. The Senior Manager is accountable for planning, directing, and completing… more
- Robert Half (New York, NY)
- …. Where We Need You: Protiviti is looking for an Internal Audit & Financial Advisory Senior Manager to join our growing Financial Services team. Protiviti's ... JOB REQUISITION New York Internal Audit and Financial Advisory (Financial Services) Senior Manager...PCAOB. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance . + The Institute of Internal Auditors (IIA's) code… more
- American Express (New York, NY)
- …Risk Management programs and reporting. EDDS is looking for a Senior Manager of Governance & Risk Advisory focused on ensuring control management is ... you make an impact in this role?** The Senior Manager , EDDS Governance & Risk Advisory will: + Operate as a front-door to Operational Risk Management (ORM)… more
- UL, LLC (Albany, NY)
- The Senior Business Manager leads the renewable (Wind, Solar, Storage) advisory business in the Americas, under the overall direction of the Global Director ... to drive high performance and morale. + Ensure understanding of and compliance with all established policies and requirements. + Communicate and exemplify ULs… more
- Truist (Atlanta, GA)
- …shift (United States of America) **Please review the following job description:** The GCO Senior Risk Advisory Manager I is responsible for providing first ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when needed… more
- Ankura (Chicago, IL)
- …license required; . Five or more years of progressively responsible experience having attained the Senior Manager or Manager level in an audit firm; . PCOAB ... Ankura is a team of excellence founded on innovation and growth. Our Audit Advisory Team of professionals includes several former senior officials from the… more
- Truist (Richmond, VA)
- …to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit or regulators. Following is a summary of the ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when needed… more
- T. Rowe Price (Owings Mills, MD)
- …matters/issues. + Communicates and collaborates with leaders who also serve in an advisory or oversight capacity, such as compliance , risk, audit, etc., and ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...join us and grow your career with us. The Senior Legal Counsel (SLC) will be a member of… more
- Deloitte (Columbus, OH)
- …Perform day-to-day operations of the IAM processes in SailPoint IdentityIQ which includes Compliance Manager , Lifecycle Manager and Application On-boarding + ... Cyber Digital Identity and Access Management SailPoint Senior Consultant Are you interested in working in a dynamic environment that offers opportunities for… more
- Warner Bros. Discovery (Burbank, CA)
- …and mitigating risks. We are seeking a dynamic and innovative Internal Audit & Advisory Manager , focusing on enhancing achievement of our WBD business strategies ... can thrive. **Your New Role ** Internal Audit and Advisory strengthens WBD's ability to create, protect, and sustain...with a broad range of executives from peers to senior executives across the business. This strategic position demands… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... personnel and relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a regulator or law… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** Candidate must have compliance advisory experience in Research business lines and will ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $250,000 USD TD is committed to providing fair… more