- TD Bank (New York, NY)
- …management regarding audit scope, status, and findings + Works at direction of Audit Manager + May perform testing procedures for more critical areas of ... discipline + Works independently but receives assistance/coaching from the audit manager + May be Auditor in...+ Undergraduate degree required + 5+ years of related Audit experience required **Preferred Skills:** + Bank Investments… more
- JPMorgan Chase (New York, NY)
- …delivered through a local, dedicated team of specialists focused on fundamental wealth management disciplines, including investment management, wealth ... planning, philanthropy, credit and banking. As a Marketing Supervisory Manager within Asset & Wealth Management, you...opportunity to foster a deep partnership with the alternative investments team and the review of internal and external… more
- US Bank (New York, NY)
- …audit team. This role will support audit coverage of the Wealth Management, Investment Advisory Services and Trust Operations business line. Operations ... support to Consumer and Business Banking, Payment Services, and Wealth Management and Investment Services business lines,...and check services, and call center activities. The CAS Audit Project Manager is primarily responsible for… more
- US Bank (New York, NY)
- …Operations team. This role will support audit coverage of the Wealth Management, Investment Advisory Services and Trust Operations. Operations provides ... support to Consumer and Business Banking, Payment Services, and Wealth Management and Investment Services business lines,...and check services, and call center activities. The Corporate Audit Services Senior Audit Project Manager… more
- Scotiabank (New York, NY)
- Audit Manager , US Capital Markets **Requisition ID:** 240530 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline ... purpose driven winning team, committed to results, in an inclusive and high-performing culture. Audit Manager , US Capital Markets - New York, NY **Purpose** As… more
- TIAA (New York, NY)
- The Wealth CIO team is seeking an experienced Sr. Director of Operations, Execution, and Risk. This person would ensure that investment and business processes ... excellence. The responsibilities would fall into three categories: 1) Investment and Business Risk Management; 2) Reporting and Oversight;...primary liaison with Business Controls, Compliance / Risk / Audit functions * Management of audit /… more
- M&T Bank (New York, NY)
- …As the manager for a book of client relationships, the Wealth Advisor is responsible and accountable for coordinating activities of the relationship team ... and coordinates on the delivery of solutions for a comprehensive wealth management strategy for individuals, business owners, and/or families. **Primary… more
- JPMorgan Chase (New York, NY)
- JP Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our ... global network of investment professionals while utilizing the latest technology and resources...latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients… more
- TD Bank (New York, NY)
- …colleagues dedicated to setting new industry standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct ... testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam, and ongoing supervision management, finding tracking, and… more
- Bank of America (Stamford, CT)
- …of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Stamford/Merrill-Market-Client-Relationship- Manager \_25046369-1) **Job Description:** Merrill ... Merrill Market Client Relationship Manager Stamford, Connecticut **To proceed with your application,...Wealth Management is a leading provider of comprehensive wealth management and investment products and services… more
- TD Bank (New York, NY)
- …position, the Compliance Specialist will be supporting the Wealth Banking, TD Wealth Management Services, Inc and Investment & Trust business lines ensuring ... colleagues dedicated to setting new industry standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the ... + Ensures timely and effective response to Compliance, Central Supervision and Audit , Compliance or other Reviews + Ensures timely completions of required learnings,… more
- US Bank (New York, NY)
- …Operations team. This role will support audit coverage of the Wealth Management, Investment Advisory Services and Trust Products Operations business line. ... multiple business lines, including Consumer and Business Banking, Payment Services, and Wealth Management and Investment Services, as well as centralized support… more
- Scotiabank (New York, NY)
- …range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and ... Senior Manager , Business Risk Management US GTB **Requisition ID:**...the collation of information required by regulators and internal audit to facilitate the latter's examinations/reviews; + Review regulatory… more
- Scotiabank (New York, NY)
- …range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and ... Senior Manager , US Liquidity Management Deposit Product Solutions, Global...compliance to any relevant regulations and internal / external audit , compliance and control requirements + Produce and monitor… more
- Capital One (New York, NY)
- …Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) Capital One's Audit function is a dedicated group of professionals focused on delivering ... top-quality assurance services to the organization's Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a… more
- Scotiabank (New York, NY)
- …range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the...for and responding to questions from regulatory authorities and audit . + Ensure that all credit adjudications and daily… more
- City National Bank (New York, NY)
- …regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with ... a financial institution such as a broker/dealer and/or registered investment adviser. * For Wealth Management Compliance roles, experience working within a… more
- S&P Global (New York, NY)
- …(5+years) within a large commercial bank, investment bank, investing institution/asset manager , rating agency, or an audit company working in the field ... off helps keep you energized for your time on. + Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills. + Invest in… more