- Scotiabank (New York, NY)
- Senior Manager , Enterprise Risk **Requisition ID:** 227263 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a guideline only. ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the...to drive ambition for every future! **Purpose** The Senior Manager , Risk Reporting, will be a key part of… more
- TD Bank (San Francisco, CA)
- …Francisco, California, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing ... this role. **Job Description:** We are seeking a VP Compliance professional to join our TD Securities US Control...lists. + Chaperone interactions and communications between Research and Investment Banking. + Review and approve US and Canadian… more
- Bank of America (Pepper Pike, OH)
- Merrill Market Client Relationship Manager Pepper Pike, Ohio **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Pepper-Pike/Merrill-Market-Client-Relationship- Manager \_25013704) **Job Description:** Merrill Wealth Management is a leading… more
- Charles Schwab (Westlake, TX)
- …a full-time basis without employer sponsorship.** The **Senior Client Service Manager , Relationship Management** plays the critical role of primary relationship ... available solution sets to achieve successful outcomes. The **Senior Client Service Manager , Relationship Management** will work together, as a team, with their… more
- Robert Half Management Resources (Dallas, TX)
- …Maintain a focus on regulatory expectations, ensuring all activities align with compliance requirements. Requirements * Certified Fiduciary & Investment Risk ... Description We are looking for an experienced Trust Audit Manager to join our team on a contract basis...and examinations, as well as a Certified Fiduciary & Investment Risk Specialist (CFIRS) certification. The selected candidate will… more
- Arena Investors LP (Jacksonville, FL)
- …back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; . Support the CCO ... of compliance policies and procedures; . Administration of firm ( Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring);… more
- Equitable (New York, NY)
- Internal Auditor - Lead Audit Manager in Financial Risk Management ( 250000FT ) **Primary Location** : UNITED STATES-NY-New York **Other Locations** : UNITED ... management, control and governance processes. The Internal Auditor - Lead Audit Manager , Financial Risk Management team member will be responsible for auditing… more
- BMO Financial Group (Chicago, IL)
- …exceptional client experience. Provides technical expertise for all aspects of investment management and administration to ensure compliance . Works ... other experts to create integrated business development strategies. + Develops investment proposals and participates in meetings with prospects/clients. + Provides … more
- City National Bank (Los Angeles, CA)
- …Certified Trust Compliance Professional (CTCP) Or * Certified Fiduciary & Investment Risk Specialist (CFIRS) Or * Certified Public Accountant (CPA) Or * ... *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The...Trust Administration, Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker/Dealer, Investment Banking activities for… more
- BlackRock (San Francisco, CA)
- …to configure client portfolios for the best client outcomes + Leverage risk and compliance tooling to implement an investment thesis across ranges of model ... this role** The Multi-Asset Strategies & Solutions (MASS) team is the investment group at the heart of BlackRock's portfolio construction, asset allocation, and… more