- TD Bank (New York, NY)
- …team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will ... assist in the management of the firms compliance program supporting all corporate investment banking...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
- Raymond James Financial, Inc. (Memphis, TN)
- **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others ... Compliance associates. + May assist with the development and...business units to recommend policy and process changes to Senior Management. + Ensures effective coordination occurs within assigned… more
- Citigroup (New York, NY)
- The Senior Executive Assistant provides support to another individual or group of individuals by handling correspondence, managing calendars and appointments, ... supports an entire department + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings,… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory… more
- Raymond James Financial, Inc. (New York, NY)
- …the company complies with regulations and good financial practice. Develop and amend investment models to provide input to senior colleagues and/or help manage ... client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …risk assessments of the organization's wealth management and investment advisory businesses. Present risk assessments to senior management. * Implement ... **Job Summary:** The Senior Manager - Internal Audit role operates under...lead comprehensive internal audits covering the wealth management and investment advisory business segments of Raymond James.… more
- TD Bank (New York, NY)
- …York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Director will ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in...primarily focus on the management of the firms compliance program supporting all corporate investment banking… more
- Wells Fargo (Dallas, TX)
- …under Regulation Z (LO) outlined in the job expectations below + This Philanthropic Senior Advisory Specialist is a specialty fiduciary expert with a focus on ... **About this role:** Wells Fargo is seeking a Senior Philanthropic Advisor - Senior Lead Fiduciary Advisory Specialist (LO) Working at Wells Fargo | Jobs and… more
- Charles Schwab (Austin, TX)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... financial services experience to share with their team of CFP(R) or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will… more
- Cherry Bekaert (Jersey City, NJ)
- …Place to Work (https://www.cbh.com/about/awards-and-recognition/) , **Cherry Bekaert** delivers innovative advisory , assurance and tax services to our clients. At ... and professional journey. In support of our growing Risk Advisory Services (https://www.cbh.com/services/ advisory /risk-accounting- advisory /risk- advisory /)… more