- UMB Bank (Kansas City, MO)
- …effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. This ... As the **Senior Compliance and Oversight Analyst** , you...+ Execute the Code of Ethics program for Private Wealth Management associates. + Responsible for processing… more
- Citizens (Tarrytown, NY)
- …related to investments/ wealth management /trust activities within Citizens Private Wealth . Providing compliance advice, oversight and challenge, the ... within Citizens Private Wealth reporting to our Wealth Management Chief Compliance Officer..... + In addition, the leader will provide active oversight of related issue management , complaint handling… more
- CIBC (New York, NY)
- …proactive advice and independent second line oversight to the Wealth Management and Trust lines of business. PWG Compliance supports these lines of ... to the US Capital Markets, US Commercial Banking and Wealth Management lines of business. The US...regulatory requirements with a strong background in investment related compliance to perform oversight of PWG business… more
- Fifth Third Bank, NA (Cincinnati, OH)
- … Officer II (COII) you will conduct compliance testing for the Wealth and Asset Management (W&AM) business and be responsible for testing strategy, ... responsibilities in accordance with Procedures. Drive reviews with limited oversight and assistance. - Review compliance risk... Officer II - Compliance Testing - Wealth and Asset Management LOCATION -- Cincinnati,… more
- Citigroup (Irving, TX)
- …based on prudent judgment. + Lead and/or work on ad hoc Risk projects, Wealth Management data oversight , Policy Governance, Regulatory remediation relating ... RRE is an independent Risk global organization within Wealth Risk Management . It provides independent risk oversight , challenge and approval for credit… more
- CIBC (Madison, IL)
- …US Compliance Department provides timely, proactive advice and independent second line oversight to the US Wealth Management , US Capital Markets, and ... with a focus on asset and wealth management regulations. In this role the PWG Compliance... Advisor ("PWG CA") will be responsible for providing compliance support and oversight to the SEC-registered… more
- TD Bank (Mount Laurel, NJ)
- …oversight and challenge over Risk and Control Self-Assessments, Quality Control, Issues Management and Key Indicators for the US Wealth , Epoch, IDA ... Risk & Control Self-Assessment, Business Continuity Management , Outsourcing & Vendor Management , Regulatory Compliance (eg CDIC, AML, Privacy, IDA, CBA, SOX,… more
- BMO Financial Group (Chicago, IL)
- …and Solutions leads the first line of defence (1B) for Wealth Management , ensuring effective regulatory management , compliance with overall Board and ... all BMO-defined Operational Risk Types (including AML) for the Wealth Management business, ensuring that internal control...tracking and monitoring of issues. + Provides governance and oversight of risk management activities within the… more
- Citigroup (New York, NY)
- …a diverse range of wealth management products in NAM. Ensure oversight over compliance with tax regulations, including FATCA, CRS, and local tax laws, ... of global and regional regulatory frameworks (eg, FATCA, CRS, Dodd-Frank) and tax compliance requirements specific to wealth management products. + Strong… more
- City National Bank (Nashville, TN)
- …estate as an underlying asset, Mineral/Oil/Gas interests), held in fiduciary accounts on the Wealth Management platform of CNB and RBC. Functions as an asset and ... ASSET OFFICER SENIOR* WHAT IS THE OPPORTUNITY? Provides investment/asset management services for Specialty Wealth Assets (real...investment manager, including providing oversight of property operations ( oversight of 3rd… more