- TD Bank (Portland, ME)
- …the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent… more
- City National Bank (Dallas, TX)
- …* Working knowledge of risk management and/or internal control techniques of investment operations , broker dealer and wealth management is beneficial. ... regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager... operations of the BSA/AML function. The Senior Manager will be responsible for all aspects of the… more
- Bank of America (New York, NY)
- …a wide variety of legal issues. Knowledge of the US securities laws, broker - dealer regulations, and banking regulations impacting the business, including issues ... 5+ years (law firm, regulatory and/or in-house) of direct broker - dealer / capital markets legal experience. +...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... The Fraud Monitoring Manager is responsible for leading a high-performing, production-based team focused on fraud surveillance, alert review, case investigation, and… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations , compliance or audit with a ... FIU Enhanced Due Diligence Manager ( 250000B6 ) **Primary Location** : UNITED...of life, annuity, brokerage and investment advisory products and operations + Knowledge of Equitable's products, processes and controls… more
- Citizens (Westwood, MA)
- …planning. Required Qualifications: + 7+ years of experience in wealth management, broker - dealer operations , or financial services + Proven leadership ... Description As the Wealth Ops Group Manager , you are responsible for overseeing and managing..., you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure… more
- Lincoln Financial (Annapolis, MD)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on a ** Manager ** to join the **Complex Services** team supporting our...5+ Years of experience in Client Customer Support and Operations that directly aligns with the specific responsibilities for… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The...Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively… more
- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... Senior Audit Manager Charlotte, North Carolina **To proceed with your...providing independent and objective assurance to improve the organization's operations and compliance with key regulations by evaluating the… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... treatment of Lincoln's derivative investment positions to support strategic investment operations , hedging programs & initiatives. They will also lead special… more