- KeyBank (Amherst, NY)
- …team on projects and testing. The ideal candidate has a functional knowledge of wealth management , trust/fiduciary compliance laws and regulations, risks and ... risk-based monitoring and evaluation by focusing on current, high impact wealth management and trust-related compliance and operational risks, developing… more
- HUB International (New York, NY)
- …business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion ... This position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose...advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a… more
- JPMorgan Chase (New York, NY)
- …you will join a growing and innovative Equity Portfolio Management team within Wealth Management 's Chief Investment Officer Team (Private Bank CIO Team), ... Banking, Commercial Banking, Treasury & Securities Services, Asset & Wealth Management , Retail Financial Services and Card...+ Compliance : Maintain a consistent focus on compliance and risk management . **Required Qualifications, Skills… more
- Raymond James Financial, Inc. (New York, NY)
- …including executive management of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management divisions, serving as a ... years of financial services experience required . Experience in broker-dealer or wealth management firms preferred, especially with exposure to front-office or… more
- City National Bank (New York, NY)
- …agencies, including exam management and other regulatory affairs. * For Wealth Management Compliance roles, experience with a financial institution ... * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT...and/or registered investment adviser/ and the OCC. * For Wealth Management Compliance roles, experience… more
- Insight Global (New York, NY)
- …The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. * Review marketing material for ... Job Description The Compliance Officer will work closely with...abilities in analytical thinking, problem solving, research, and time management Must have excellent verbal communication and people skills… more
- Citigroup (Queens, NY)
- …and high-net worth segments through Citigold(R) and Citigold(R) Private Client and captures wealth management in the workplace through Citi Global Wealth ... + Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the...but not limited to Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral… more
- HSBC (Buffalo, NY)
- …macroeconomics/microeconomics/local market developments, and of external regulatory framework relevant to wealth management + Strong client focus and ability to ... Work style: Office Worker Date: 21 Oct 2025 In compliance with applicable laws, HSBC is committed to employing... Wealth Relationship Manager works closely with the Wealth Relationship Officer and the service teams… more
- City National Bank (New York, NY)
- *CHIEF FIDUCIARY OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief...and regulatory compliance within a bank or wealth management firm. * Minimum 5 years ... trust and fiduciary operations. This role works with executive management within the Wealth Management ...Build and sustain effective relationships across business lines risk management compliance and other support functions to… more
- Citigroup (New York, NY)
- …credit, corporate and investment banking, securities brokerage, transaction services, and wealth management . Our core activities are safeguarding assets, lending ... **VP Cash Management Sales Officer - Global Solution...other sales consultants and junior staff. + Always ensures compliance with regulatory requirements including Citi's policies and guidelines.… more