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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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GCC oversees USB's compliance with applicable laws and regulations through execution of the compliance risk management framework across the first and second lines of defense, including: risk identification, change management, risk assessments, management reporting, and provide consultation and credible challenge to support the development of effective business line control environments subject to compliance risk.
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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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Capital Market laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking.
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Coordinating audit activities by integrating other internal audit subject matter teams (e.g., Business Lines, Technology, Anti-Money Laundering, Model, Risk Management, Data, etc.) We are seeking an experienced senior business audit executive that has strong knowledge of audit, risk management, and regulatory expectations (e.g., Office of the Comptroller of Currency's Heightened Standards and Federal Reserve Board's Large Financial Institution Rating System) at large financial institutions.
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The MCRM partners closely with the Senior Client Relationship Manager (SCRM) to support the ongoing development of the Elite Growth Practice roles, Wealth Management Client Associates, and the Operations staff.
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Coordinating with the Audit Director/Senior Audit Director in developing and driving the execution and coordination of the risk-based Annual Audit Plan for Wealth, Commercial, Capital Markets. This role supports the Audit Director/Senior Audit Director, in providing the Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness of risk management, control, and governance processes of U.S. Bancorp (USB), affiliates, wholly owned subsidiaries and entities where USB owns a majority (controlling) interest.
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Our entry level Wealth Management Associate training curriculum is designed to empower you with the skills and tools needed for success: client relationship management, product knowledge, market development, role play and access to a full suite of remote-work technology solutions.
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The Senior Audit Manager also has strong knowledge of Compliance Management Systems. Overseeing ongoing progress and remediation by management for all outstanding operations issues across the entire enterprise and supporting other Senior Audit Directors/Audit Directors.
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This individual will have skills and experiences to effectively manage deliverables, own and lead the compliance risk management audit plan, provide oversight of audit activities over the risk management activities mentioned above, and deliver updates to operating committees, senior management and key stakeholders.
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The Market Client Relationship Manager (MCRM) is a direct report to the Division Client Relationship Executive (DCRE) with dual reporting to the Merrill Wealth Management Market Executive (ME.
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Please be advised that under current company policy, Merrill Wealth Management does not sponsor a visa petition or other work authorization for this position. Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs.
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The advisory legal team works hand-in-hand with the Wealth Management business on a daily basis. Executive Assistant to the Wealth Management Chief Investment Officer.
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A Wealth and Business Management Firm for individuals as well as their companies in the Television, Film, Music, Social Media, Production, and Advertising Industries. Business Management Tax Accountant - Tax Senior Accountant Beverly Hills.
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Related SkillsBusiness Development, Client Relationship Management, Collaboration, Consultative Communication, Continuous Improvement Mindset, Due Diligence, Practice Management Strategy, Prioritizes Effectively, Quantitative Analysis, Retirement Planning Selling, Sales, TIAA Products/Services Acumen, Wealth Management.
$92,000 - $110,000 a yearFull-timeExpandApply NowActive JobUpdated Today
wealth management jobs Title: business development Company: Microsoft
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