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Experience RequiredMust have at least 10 years work experience with a minimum of 7 years of direct experience in a self-clearing US broker-dealer operating in the wealth management spaceSignificant prior exposure to retail finance and banking operations and its related rules and regulations is required as is significant direct experience in a compliance-related function.
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Cresset offers individuals and families access to a comprehensive suite of family office services, deeply personalized wealth management, investment advisory, planning and other services through Cresset Asset Management, an SEC registered Investment Advisor, with $40 billion in assets under management.
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Description D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments.
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Consumer & Investment Management Division Operations is responsible for front-to-back operational support to the Goldman Sachs Asset Management, Private Wealth Management and Ayco businesses in service, delivery, and processing functions across the trade and client lifecycle.
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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 offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.
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The Global Compliance Projects team is at the forefront of new business initiatives for Marcus Invest and the Wealth Management (“WM”) division more broadly. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program.
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This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an effective Compliance Management Program is in place.
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Wealthspire Advisors acts as a wealth manager, investment Advisor, consultant, and constant partner in helping clients achieve their aspirations. Compliance or financial services related professional designations (e.g., IACCP, CFP) or FINRA Series Exams preferred but not required.
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Private Wealth Management (“PWM”) Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes.
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Strong understanding of Regulatory compliance in the areas of Investment banking , Asset management , Wealth management , market infrastructures , P&C insurance , L&A. Functional subject matter experience in Capital Markets, Insurance, Alternative Investments, OTC, derivatives and Securities, Investment, and Wealth Management markets.
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Overview: Works with the Business Line Risk Manager (BLRM) in overseeing first line of defense risk management responsibilities of the Wealth divisions in accordance with the Enterprise Risk Framework.
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Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions.
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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. The incumbent will have regular interaction with the Funds' Board of Trustees outside counsel, Board senior management, compliance, legal, portfolio management and operations personnel.
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Join a team of experienced professionals in the Wealth Management Division Supervision as our new Compliance Officer. Dynamic Opportunity in Compliance Oversight | JDHuntr 43236 Division Compliance Officer, based in Washington, DC.
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wealth management jobs Title: compliance
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