- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the...to 7 years of knowledge and experience in FCRM compliance , preferably within the prime brokerage division… more
- Berkshire Bank (Boston, MA)
- …$170,031 Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the ... (Trust department) business and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding and advising on… more
- Equitable (Charlotte, NC)
- …management experience + Experience in dealing with sophisticated investment advisory and securities brokerage compliance issues and substantive product ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary...advisers, as well as knowledge of federal and state securities laws and regulations more broadly Preferred Qualifications: +… more
- GE Vernova (New York, NY)
- …will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential ... risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk...Bribery Act. + Experience with asset management, fund management, brokerage activities for securities transactions and/or capital… more
- Citigroup (West Palm Beach, FL)
- …and services, including consumer banking and credit, corporate and investment banking, securities brokerage , and wealth management. Citi Bank Retail Mortgage ... Job Description The Mortgage Lending Officer role is a developing professional role. This...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Wells Fargo (Charlotte, NC)
- …The role will also serve as a finance leader to the Chief Product Officer - who oversees the roughly $250MM technology investment across WIM's platforms. **Wells ... financial products and services through the various bank and brokerage affiliates of Wells Fargo & Company. Our clients...clients have access to Wells Fargo Advisors, referrals from securities -registered bankers in the Consumer Bank and the Wells… more
- Citigroup (Boca Raton, FL)
- …relationships with new clients with the goal of bringing in new bank and brokerage assets. + Deepen relationships with existing clients in PWM and Retail bank ... to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number… more
- Citigroup (New York, NY)
- …with new clients with the goal of bringing in new bank and brokerage assets + Deepen relationships with existing clients in Citi Personal Wealth Management ... to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number… more