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Bachelors degree in accounting, finance, economics, business, or a juris doctorate degree from an accredited college or university; a minimum of five years risk management and/or compliance experience in trust, employee benefits, wealth management, or asset management; or equivalent combination of education and experience is required.
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Our multiple business lines include Institutional Fixed-Income Sales and Trading, Retail Advisory and Brokerage services, Wealth Management and Financial Planning, tax credit trading, and private investment banking.
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We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
$160,000 - $210,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Provide expert advice, information, and specialized training to the Wealth Management Risk Manager (WMRM), governance committees, senior leaders, and team members on complex risk management and fiduciary compliance issues.
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Macquarie is a global financial group providing clients with asset management, retail and business banking, wealth management, leasing and asset financing, market access, commodity trading, renewables development, specialist advisory, capital raising and principal investment.
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The Corporate Audit Services (CAS) Senior Audit Manager – Wealth, Commercial, Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management and Compliance audit team.
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The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will be responsible for driving change and the primary face-off to the Wealth line-of-business, including providing thought leadership, direction and driving greater consistency in global program design and execution across our wealth management activities.
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RoleThe Global Head of AML Risk Management - Wealth reports to Citi’s Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will be responsible for driving change and the primary face-off to the Wealth line-of-business, including providing thought leadership, direction and driving greater consistency in global program design and execution across our wealth management activities.
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The Corporate Audit Services (CAS) Senior Audit Manager – International Compliance is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management and Compliance audit team.
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Set, develop, and implement strategic AML compliance risk management direction for the Wealth group globally including other wealth management clients. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.
$250,000 - $500,000ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Additionally, Wintrust operates various non-bank business units including commercial and life insurance premium financing, short-term accounts receivable financing, out-sourced administrative services, mortgage origination and purchase, wealth management services and qualified intermediary services for tax-deferred exchanges.
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Wealth Management laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority (FINRA) Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking.
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We are currently seeking an experienced and detail-oriented Wealth Management Compliance Officer to join our team at First International Bank and Trust. This role is crucial to ensuring that our company adheres to all relevant regulations and compliance standards within the wealth management industry.
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The Senior Compliance Manger will be part of the Core Compliance team and will work under the general direction of the Chief Compliance Officer to lead, develop, and execute the policy governance, compliance monitoring and testing, compliance education, and regulatory change management programs.
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Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Reviewing compliance for accounts/funds in APAC, EMEA and US markets; performing post-trade monitoring with Charles River to ensure internal investment management stakeholders are not breaching any investment guideline mandates or regulatory restrictions.
$130,110 - $142,800 a yearExpandApply NowActive JobUpdated 6 days ago
wealth management jobs Title: compliance
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