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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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Advanced level experience in the following technologies or similar a plus:FIS (Fidelity Information Systems) core banking & financial products & servicesNice Actimize or other Compliance/BSA applications such as Lexis/Nexis - BridgerDigital and Mobile Banking PlatformsLending SolutionsPayment Processing Systems (Wires, ACH, etc.
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Efhuttongroup.com. POSITION SUMMARY: The Wealth Management Compliance Specialist plays a key role in ensuring the organization operates ethically and within the bounds of the law by ensuring policies and procedures are followed, monitoring compliance activities, and educating employees on compliance issues.
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Designated Supervisor/Compliance Specialist – Wealth Management. 3-5 years in a compliance and/or supervisory role with an advisory firm and/or broker-dealer. Work with Director, as needed, to ensure Operations workflow is in compliance with the firm’s policies.
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Bank compliance/risk operations experience and/or mortgage origination/servicing, retail banking, commercial banking, private banking, wealth management, etc. The Compliance Testing Specialist – Issue Management will perform day to day tasks related to the administration of the Enterprise Compliance Issue Management program.
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Wealth Recruitment, LLC is seeking a detail-oriented and knowledgeable Resident Compliance Specialist to join our team. One (1) year of experience as a Resident Compliance Specialist on a construction project OR.
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Designated Supervisor/Compliance Specialist – Series 24 – Wealth Management | McLean, Virginia. Designated Supervisor/Compliance Specialist – Series 24 – Wealth Management.
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Compliance Specialist III, Vice President. This includes ongoing guidance as well as leading and managing major implementation processes including Compliance Management System (CMS) Monitoring, Third-Party Risk Management and Compliance Risk Assessment.
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Senior Application Specialist - IT Banking/Compliance. Nice Actimize or other Compliance/BSA applications such as Lexis/Nexis - Bridger. The Sr. Application Specialist - Banking is a senior level position and serves as a subject matter expert across the business domains they support.
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Assist in training the Data Integrity staff and Line of Business on compliance regulations including Rule 1071 and new data systems implementations. Prepare and distribute the Quarterly Summary Report (“Compliance Review Recap”) to each Line of Business.
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Judson Group has partnered with an ever-evolving financial services firm offering solutions to independent advisors based on their preferred level of ownership and responsibility in the search for a Designated Supervisor/Compliance Specialist - Series 24 – Wealth Management.
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Review and monitor their emails for compliance with firm policies and client suitability, i.e. investment recommendation emails, OBA related emails, etc. Perform ongoing supervision over their Compliance approved OBAs, PSAs, and PSTs accordingly.
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In this role, you’ll be responsible to assist the Compliance Officer In Charge of the Wealth Management Group (“WMG”) Trust Division(“Trust Division”) and the Chief Compliance Officer of Bishop Street Capital Management (“BSCM”) in the overall implementation and monitoring of the Trust Division and BSCM compliance programs and its ongoing development based on the changing regulatory and operational environment of Trust Division, BSCM, and the Bishop Street Funds (“Funds.
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The NFRR Enterprise Area of Coverage (NFRR EAC) Compliance & Operational Risk (C&OR) Specialist is an individual contributor member of an NFRR EAC C&OR team that is responsible for enterprise-wide oversight of processes, controls, laws, rules, and/or regulations that have enterprise-wide applicability, affecting two or more Front Line Units or Control Functions ("FLU/CF"), with respect to the non-financial regulatory reporting ("NFRR") area of coverage.
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The Senior Compliance Specialist/Complaints Team Lead helps lead our centralized complaints team and is responsible for investigating, providing compliance guidance, and coordinating the response and resolution to customer complaints relating to Wintrust's family of community banks.
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wealth job Title: specialist compliance
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