- Morgan Stanley (Baltimore, MD)
- * Wealth Management Compliance Testing Tester* Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, ... to learn more about our benefit offerings./ **Job:** **Other* **Title:** * Wealth Management Compliance Testing Tester* **Location:** *Maryland-Baltimore*… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... reported issues. Key Activities include: + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… more
- M&T Bank (Clanton, AL)
- …position would support the testing of M&T Securities, Institutional Services & Wealth Management Marketing, The Volcker Rule and other regulations covered ... under the Institutional Services & Wealth Management umbrella. **Position Responsibilities:** + Interface...opinions are effectively challenged. + Review test findings with testing management and other compliance … more
- BMO Financial Group (Chicago, IL)
- Deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk ... support to various internal business partners across the Wealth Management businesses. - Prepare reports and...management . **Qualifications:** - 7+ years' experience in a compliance , control testing , or audit role ideally… more
- Citigroup (Jacksonville, FL)
- …high-net-worth customer relationship tiers of Citigold(R) and Citigold Private Client and offers wealth management in the workplace through Citi Global Wealth ... The Wealth Products and Operations Control Testing ...+ Supports team members on topics ranging from control testing design to performance management and control… more
- Citigroup (New York, NY)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments (ie, ... client-facing) businesses. This position reports to the Wealth Client Segments Control Testing Lead, within...+ Supports team members on topics ranging from control testing design to performance management and control… more
- Morgan Stanley (Miami, FL)
- * Wealth Management Branch Examiner - Remote * Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, ... securities, investment management and wealth management services....with the skill to make independent decisions associated with Compliance testing procedures * Enthusiastic, disciplined and… more
- Bank of America (Charlotte, NC)
- …for overseeing the Global Financial Crimes Risk program for Merrill Lynch Wealth Management , Merrill Edge/Consumer Investments, Bank of America Private Bank ... Management + Decision Making + External Resource Management + Regulatory Compliance + Strategy Planning...**Required Qualifications** * In depth knowledge of Merrill Lynch Wealth Management and Bank of America Private… more
- Neuberger Berman (New York, NY)
- …opening and maintenance. + Provide advice regarding regulatory matters appropriate for a wealth management and asset management business, including the ... Compliance Department, specifically with respect to the Private Wealth business. The ideal candidate will have experience in...documents relating to private funds offered through the Private Wealth channel, and advising on and testing … more
- JPMorgan Chase (New York, NY)
- …developments. **Required Qualifications, Capabilities, and Skills** + 3+ years of experience in wealth management , risk and controls, compliance , or audit. + ... financial needs. As a **Senior Associate** on the **Chase Wealth Management (CWM) Project Management ...of contact representing the CWM business for internal audits, compliance testing , and external regulatory exams. +… more
- BMO Financial Group (Milwaukee, WI)
- …training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements. + Focus is primarily on ... line of defense (1st LOD) programs (eg, operational risk, AML, compliance , regulatory, etc.), including overseeing business operations within the jurisdiction to… more
- Citigroup (New York, NY)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments ... reports to the Wealth Client Segments Control Testing Head within the Control Testing Utility...Leader is a subject matter expert on projects, initiatives management , use of analytics and tracking to keep the… more
- Citigroup (New York, NY)
- …and offers an elevated financial relationship with a higher level of service and wealth management . Citi Private Bank is dedicated to serving the world's ... making a positive impact on the communities we serve. Wealth brings together the full power of Citi to...create world class experiences, validating solutions through research and testing . Running effective design maintenance and operations with an… more
- Commerce Bank (Kansas City, MO)
- …$18.00 - $21.15 (Amount based on relevant experience, skills, and competencies.) The Wealth Management Bill Payment Associate is the primary point of contact ... other departments of the Trust Company including Operations, Audit, Compliance , Legal and Tax. This position plays a key...Knowledge, Skills & Abilities Required + Basic knowledge of wealth management bill payment practices + Strong… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …DUTIES & RESPONSIBILITIES: + Ensure execution of all audit activities in the planning, testing , reporting and wrap up phases in compliance with the Audit ... processes related to the entity being audited. Execute testing of controls to assess adequacy of control design...of 100+ internal audit professionals. Audit Project Manager - Wealth & Asset Management LOCATION -- Cincinnati,… more
- Citigroup (Queens, NY)
- …risk management consistency and excellence. + Works closely with Wealth Deposits Product to identify issues and make recommendations on improving practices. ... managing and supporting multiple risk and control programs for Wealth Deposits including, processes, quality, tools and reporting that...+ Develops procedural implementation and change management process to ensure proper governance and controls +… more
- HUB International (Wilmington, MA)
- …property, casualty, risk management , life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB means ... defined contribution retirement plans. **Specific Responsibilities:** + Involved in plan compliance testing + Contribution calculations + Creation of valuation… more
- Wells Fargo (Charlotte, NC)
- …Scheduling and Command Center teams. + Actively monitor, timely updates and ensure compliance for the Workforce Management Policies and Procedures. + Lead the ... This role is critical for the setup, ongoing support, and expansion of Workforce Management processes across ICC (Client facing and FA Facing teams) and larger WIM… more
- City National Bank (Los Angeles, CA)
- …supervises and reviews the work of others, analyzes and synthesizes results of testing performed, effectively communicates results to senior management to affect ... *MANAGER OF AUDIT II- WEALTH * WHAT IS THE OPPORTUNITY? The Audit Manager...years of audit or related experience in banking operations, compliance , and/or risk management activities. * Minimum… more
- Comerica (Charlotte, NC)
- …in a financial services context. * Ability to educate colleagues on risk management , controls, and compliance concepts, frameworks, and policies. * Ability to ... BRCOs are critical to the success of the Risk Management Lifecyle and play a role in Planning, Identifying,...2LOD frameworks and policies, in topics such as Exams, Compliance , Third-Party Risk, Model Risk, Complaints, Human Capital, and… more