- Wells Fargo (Minneapolis, MN)
- …risk. + Experience assessing risks/controls related to Wealth & investment Management and/or Broker Dealer processes. **Job Expectations:** + Ability ... conclusions + Escalate significant risks and loss exposures to appropriate levels of management + Ensure documentation and reporting are ready for review by managers… more
- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, ... you will provide critical analysis and discussion of wealth management -specific regulatory issues, ongoing support of investment products distribution issues,… more
- Wells Fargo (Minneapolis, MN)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% ... of the time + This position offers a hybrid work schedule + This position is not eligible for Visa sponsorship + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide… more
- Citizens (Westwood, MA)
- …and team structure planning. Required Qualifications: + 7+ years of experience in wealth management , broker - dealer operations, or financial services ... Manager, you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure efficient and effective delivery… more
- City National Bank (Jersey City, NJ)
- …in resulting investigations and reporting. * Report to a supervisor with the Wealth Management Broker / Dealer Compliance division *The Qualifications* ... National Bank. *The Opportunity* The Compliance Analyst will review a variety of broker / dealer employee compliance requests to ensure that they are in compliance… more
- Raymond James Financial, Inc. (New York, NY)
- …minimum of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially ... of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management...products and an understanding of the market standard risk management practices . Broker - dealer supervisory… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …years of client service experience, preferably in financial services or wealth management + Familiarity with broker - dealer platforms (experience with LPL ... Description Overview: A boutique wealth management firm is seeking a Client Service Associate to join its growing team. With a strong foundation built on over 15… more
- Broadridge Financial Solutions (New York, NY)
- …career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of ... the BBD Management Team and partners directly with the BBD President,...delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …years of client service experience, preferably in financial services or wealth management + Familiarity with broker - dealer platforms (experience with LPL ... policies Preferred Skills: + Prior experience in a financial advisory or wealth management setting + Working knowledge of financial products and services +… more
- City National Bank (Jersey City, NJ)
- …provide general regulatory and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising ... of overall business strategy for the Bank and its wealth management business. WHAT WILL YOU DO?...counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and… more
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