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Responsible for overseeing tax planning and compliance functions for ultra-high net worth individuals and their families, with a particular emphasis on clients in the financial services sector, such as hedge funds, private equity, and other investment-related individuals.
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Sia Partners is looking for a talented Management Consultant to support our Risk, Regulatory & Compliance Business Unit serving our clients as a project manager. Plan and execute client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance, Surveillance, Conduct Risk, Third Party Risk Assessments and other risk programs.
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The manager will serve as a subject matter expert on complex system and projects and engages all levels of staff and management in the technology and business units to provide ongoing management of mission critical systems ensuring compliance with BSA/AML regulatory requirements.
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Develop and manage Financial Crime and AML methodology to manage all sources of regulatory risk to meet the needs of our US & Canada regulators and ensure they remain up to date with all regulatory and international standard.
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The Quantitative Supervision and Research (QSR) Team provides quantitative support to the Federal Reserve’s national supervisory programs in the areas of financial risk modeling and model risk management as well as to supervisory teams within the District’s Supervision + Credit group.
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Leading analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Circle is looking for a Compliance Data & Reporting Manager with experience in Compliance systems and data to help us build out reporting and insights functions to enable data driven compliance.
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Chief Privacy Officer and Compliance Director (6060U), Ethics, Risk & Compliance Svcs 66177 About Berkeley At the University of California, Berkeley, we are committed to creating a community that fosters equity of experience and opportunity, and ensures that students, faculty, and staff of all backgrounds feel safe, welcome and included.
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Minimum of 12 years of experience in a compliance role within the financial services industry, with at least 5 years in a leadership position. The Chief Compliance Officer ("CCO") will act as the primary expert and advisor on all NerdWallet compliance matters, managing external regulatory engagements, legal contracts, and third-party vendor compliance.
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We are seeking a highly skilled and experienced Investment Banking Vice President to join our dynamic Equity Capital Markets team, offering an exceptional opportunity to contribute to high-profile transactions and drive growth within a leading financial institution.
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The Investment Program at Golden 1 Credit Union supports the localmunity with aplete menu of financial services. Employment is with Golden 1 Credit Union, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.
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At least 5 years of successful sales experience in the financial services industry. Series 65 or combination of Series 7 and Series 66 license required unless candidate holds one of the following credentials: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC.
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You have a minimum of 10-15 years (we preference applicants at the 15+ years of experience) of real estate lending or credit review experience at a CDFI, bank, or similar financial institution, including management experience overseeing a credit risk function.
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Partner with the CISO, Chief Privacy Officer and Head of Fe GRC (Governance, Risk & Compliance) to ensure privacy, regulatory, and security requirements are incorporated into all Financial products and roadmaps.
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Using fundamental technical skills, analytical abilities, and up-to-date regulatory knowledge, provide complete customer oriented, environmental analysis, planning and compliance solutions, to assist clients in areas of CEQA/NEPA permitting and regulatory compliance.
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Manage grant budgets, financial reporting to funders, and ensure compliance with grant requirements. Develop and maintain advanced financial models that allow for scenario planning, risk assessment, and revenue modeling to support long-term financial planning.
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equity regulatory compliance risk net financial services jobs Title: manager Company: Wells Fargo in San Francisco, CA
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