- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities/ investment management) as well trust/fiduciary related compliance , operations, ... sponsored certifications in wealth management, trust, and/or fiduciary risk management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk… more
- BMO Financial Group (Chicago, IL)
- Control Testing Specialist, Wealth - Regulatory Compliance This role will deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the ... Enterprise Compliance Program and Operational Non-Financial Risk Framework. + Execute...Familiarity with Key Regulations applicable to Wealth Management and Investment Funds (eg SEC, OCC, etc.). + Excellent data… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're seeking a strategic, compliance -minded leader to join our team as an **Director - HR Compliance ** . This role will play a critical part ... internal policies - and focus on partnering with the **SBCU** to strengthen our compliance framework. **What You'll Do** + Partner with the CCO to implement, and… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Join our Benefits & Protection Compliance team as a Compliance Advisor supporting regulatory excellence in the life and disability insurance ... space! You'll partner with business leaders to ensure compliance with laws and regulations, manage regulatory exams, and help enhance our compliance testing… more
- Manulife (Boston, MA)
- … compliance , portfolio accounting or other relevant regulatory or investment company experience **Preferred Qualifications:** + Project Management experience + ... The Compliance Manager is responsible for the execution and/or... with federal securities laws applicable to John Hancock Investment Company products, the John Hancock Group of Funds… more
- Mizuho Corporate Bank (New York, NY)
- …is a front office function serving Japanese corporate clients in the US The Compliance and Risk Management Unit, part of the Planning Team within ACBD1, is ... responsible for a wide range of compliance matters and risk management initiatives. The primary responsibilities...Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada,… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...the Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB). You will be… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Capital Markets line of business, which includes global markets, investment banking and corporate banking services provided through the… more
- Mizuho Corporate Bank (New York, NY)
- As the Vice President of Compliance AI Initiatives, you will play a pivotal role in shaping the future of AI risk management and compliance within our ... Department. You will oversee AI initiatives within the Compliance Department and work collaboratively with various Line of...Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line, ... packaged products including annuities/insurance, mutual funds, 529 plans, unit investment trusts, and exchange traded products. Provides regulatory and policy-driven… more