- Citizens (Westwood, MA)
- …governance to proactively reduce operational errors, enhance reconciliation, and support regulatory compliance . + Modernizing investment operations to drive ... + Develop and maintain a product roadmap for the Portfolio Management and Trading Platform, focused on delivering exceptional advisor and client experiences,… more
- JPMorgan Chase (Boston, MA)
- …JP Morgan, we've experienced breakthrough growth over the last year. Today, 450 financial advisor firms with $1 trillion in assets (and counting) are using 55ip. As ... This role combines operational understanding, and analytics with market dynamics and trading practices. The VP acts as a liaison between assets managers, traders,… more
- TD Bank (Boston, MA)
- …Management thought leadership + Is responsible for all standards, supervision and regulatory compliance and oversight of all regulated activities (SEC, FINRA) ... TD Private Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer. **Depth & Scope:** + Provides...and Field Personnel needs + Extensive understanding of current compliance and regulatory issues related to US… more
- JPMorgan Chase (Boston, MA)
- …marketing material and customers' statements to ensure compliance with various regulatory and legal requirements + Monitor the trading practices of Advisors ... dissemination of information relating to changes in policy and regulatory rules. Discuss Compliance and new product...required by firm policy and review and resolve personal trading policy violations with Compliance and Regional… more