- WSP USA (Columbus, OH)
- …& Planning services in the state of Ohio as well as be a client advisor , staff manager, and pursuit and project manager on Ohio and regional projects and programs. ... with applicable Federal, State, and Local Agency laws, policies, and regulatory requirements. + Support the overall long-term strategy, growth, and pipeline… more
- First National Bank of Omaha (Fort Collins, CO)
- …performance. + Ensure processes are appropriately designed to ensure compliance with policy , procedures and regulatory requirements. + Manage operating budget, ... proven experience in Wealth risk and compliance, deep knowledge of the regulatory landscape, operational best practices and a transformative leadership style. This… more
- Truist (Richmond, VA)
- …+ Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy . + Implement ... Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or...Business Partners to keep abreast of observations, trends and policy oversights + Primary approval of advisor … more
- Thrivent Financial (Faribault, MN)
- …clients and their families. Responsibilities may include working with a Financial Advisor to develop and implement business and marketing plans to acquire, ... prospects. The Associate reports to and is employed/contracted by the Financial Advisor . Thrivent Investment Management Inc. is the sponsor for FINRA registration… more
- Truist (Philadelphia, PA)
- …and acts as a primary source for investment communication. Assists the Wealth Advisor in acquiring Reserve and GenSpring level, prospective clients. 2. Assist Wealth ... Actively assist in the client onboarding experience and develop the Investment Policy Statement in accordance with the client's unique situation. Execute on… more
- Truist (Dallas, TX)
- …management and compliance, delivering our Purpose-Driven Wealth Experience, and driving advisor retention/recruiting efforts for the market. Following is a summary ... solid judgment. 6. Improve workflows by identifying and assisting with process, policy and system revisions and upgrades, and staying current on new technologies,… more
- Truist (Vienna, VA)
- …and compliance, delivering our Purpose-Driven Wealth Experience, and driving advisor retention/recruiting efforts for the region. Essential Duties and ... + Improve workflows by identifying and assisting with process, policy and system revisions and upgrades, and staying current...a strong focus on diversity, and executing on Financial Advisor retention strategies and objectives. Create a culture of… more
- BMO Financial Group (Chicago, IL)
- …action plans. + Provides strategic input into business decisions as a trusted advisor . + Makes recommendations to senior leaders on strategy and new initiatives, ... + Represents the model validation program / portfolio for internal/external regulatory audits and/or examinations. + Ensures alignment between stakeholders. +… more
- SAP (Newtown Square, PA)
- …with an emphasis on advising product development and engineering teams on legal and regulatory topics. This role involves serving as the primary legal advisor ... provide proactive support in the areas of product development, commercialization, and regulatory compliance. When specialized topics arise (eg, regulatory , data… more
- Comerica (Farmington Hills, MI)
- …matters. Additionally, this role is responsible for required regulatory reporting. Position Responsibilities:Sanctions Compliance Develop and implement policies ... programs that align to the enterprise sanctions framework. Set the sanctions policy and establish risk-based procedures to prevent, detect, and report potential… more