- KeyBank (Brooklyn, OH)
- …risk management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk Specialist ), CTFA (Certified Trust and Fiduciary Advisor), or similar). ... management products and services (eg - trust/fiduciary, private banking, securities/ investment management, capital markets), compliance , operations, and risk… more
- BMO Financial Group (Barrington, 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 of Boise (Boise, ID)
- …Provides training and corrective guidance to volunteers and seasonal staff. Ensures compliance with all safety protocols and trains volunteer and seasonal staff on ... in any of the following areas:; Certified Arborist; Arborist Utility Specialist ; Certified Arborist Municipal Specialist ; Certified Tree Worker/Climber … more
- MyFlorida (Tampa, FL)
- …NOTES: Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers, ... risk management, compliance , operations, or the front office of an investment adviser or broker-dealer. + Individuals who hold or have held securities industry… more
- Citigroup (Miami, FL)
- …procedures regarding client transactions and suitability + Oversee and ensure compliance with the following processes: Investment Objective Setting (IOS), ... Business Development** + Grow client net revenue annually in core product areas: investment management, capital markets, and banking & lending + Create sales and… more
- JPMorgan Chase (New York, NY)
- …RFPs, RFIs, and client questionnaires. + Collaborate with the Real Estate Americas Investment Specialist team to service existing clients and acquire new ... Americas investments marketing effort, working primarily with internal clients ( investment specialists, portfolio managers, research, investment teams, and… more
- Citigroup (Miami, FL)
- …procedures regarding client transactions and suitability + Oversee and ensure compliance with the following processes: Investment Objective Setting (IOS), ... Business Development** + Grow client net revenue annually in core product areas: investment management, capital markets, and banking & lending + Create sales and… more
- Scotiabank (New York, NY)
- …Sales & Trading** Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing ... Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that...covering a wide array of credit accounts as a specialist salesperson. The Director shall distribute Primary and secondary… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- Truist (Norcross, GA)
- …financial planning analysis. Proactively work with the financial advisor on assigned investment accounts for adherence to investment and asset allocation ... and policies. 3. Keep abreast of changing economic, legal, financial planning, investment trends and general market and business issues impacting mass affluent… more