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Strong network of relationships with institutional investors, private equity firms, and high-net-worth individuals. Familiarity with regulatory requirements and compliance in equity capital markets.
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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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Prior experience as a KYC Analyst, particularly in handling high-risk and high-net-worth clients. Your primary duties will involve reviewing and validating KYC documentation, ensuring thorough customer due diligence (CDD) and enhanced due diligence (EDD) for high-risk and high-net-worth clients.
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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Our focus on combatting climate change through clean energy technology, our new net zero climate vision for 2030 and enhanced commitment to diversity, equity and inclusion; and supporting the communities we serve make this a particularly exciting time to join PSEG.
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Must have Ultra High Net Worth client experience. Exhibits strong culture of compliance, adherence to policy and Schwab’s high standards. Exhibits wealth management and investment products expertise including equities, fixed income, mutual fund and retirement plans; equity compensation plans, stock options and annuities.
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Call coverage is split 1:3 that includes evening/weekend outpatient calls, newborn nursery rounds and attending high-risk/c-section deliveries. The community is fortunate to have excellent schools (in the Quad Cities and surrounding areas), the Niabi Zoo, museums, fine arts, a local festival scene, minor league baseball and hockey, and many seasonal outdoor activities.
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6-10+ years of prior lending, credit risk management, credit review, regulatory supervision, or similar experience with commercial loan portfolios, including one of more of the following portfolio types: financial institutions (funds), technology, healthcare, leveraged lending, sponsor finance, high net worth individuals, or commercial real estate.
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Comprised of 6 counties in Iowa and Illinois, the Quad Cities is the largest metropolitan area on the Mississippi River between Minneapolis and St. Louis. The John Deere Classic (PGA Golf Tour Event) and the Bix 7 road race bring in people from all over the world every summer.
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The Sr. Trust and Wealth Strategist will leverage the extensive resources of our home office and Edward Jones Trust Company to support our financial advisors in serving their High Net Worth clients with complex needs.
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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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Director, Model Validation for SHUSA Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR- and other regulatory requirements around Compliance models.
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Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software. 5+ years of experience (audit-related) in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits.
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Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations. The team plans and executes the Operational Risk Compliance Testing program.
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Our clients are enterprises as diverse as sophisticated financial institutions and start-ups, global public firms, and middle-market companies, as well as high net worth individuals, family offices, not-for-profit organizations, and entrepreneurial ventures across a variety of industries.
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equity and inclusion regulatory compliance risk high net worth quad jobs Company: Wells Fargo in Lahaina, Hawaii
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