Vice President, Business Compliance Officer – Wealth Compliance - New York

The Head of City National Bank's (CNB) Wealth Management Compliance business oversees compliance activities and promotes a strong culture of ethics and integrity. The role involves partnering with RBC Centers of Excellence on compliance programs and overseeing trust and fiduciary ...

We're seeking a future team member for the role of VP, Business Compliance Officer – Wealth Compliance to join our Risk and Compliance team.This role is located in New York City. · ...

We're seeking a future team member for the role of VP, Business Compliance Officer – Wealth Compliance to join our Risk and Compliance team. · Contribute to the Wealth Compliance program. · Strong partnership capabilities with business and functional leaders. · ...

The Head of City National Bank's (CNB) Wealth Management Compliance business will oversee compliance activities for this division while promoting a strong culture of ethics, compliance, and integrity. · Advance compliance programs that focus on regulatory requirements across appl ...

The candidate will provide legal advice and conduct detailed reviews of documentation for investment products offered to clients. · Fund/Product Review: provide legal advice and conduct detailed reviews of documentation for investment products offered to clients, · Contract Draft ...

We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. · 8+ years of experience practicing law at a law firm or as in-house counsel, · Significant experience with the Securities Act of 1 ...

We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. This role will work on a variety of interesting and cutting-edge legal, general corporate and securities law matters. · ...

We seek to create positive economic impact and long-term value for our investors. · ...

The Chief Operating Officer (COO) plays a key role in partnering with the Head of Wealth to run the day-to-day operation of the business. · ...

Our client, a well-known wealth management firm, is looking for a Margin Operations Analyst to cover all margin risk matters within their Wealth Operations team. · ...

This role oversees KYC CDD EDD AML sanctions risk management for Corporate Trust Agency Institutional Client Services Personal Trust Wealth Management and High Net Worth UHNW clients. · Identify measure escalate compliance risk issues to the Compliance Director. · Oversight of st ...

We take a people-first approach by investing in talent, empowering local leaders, and building a culture of exceptional execution, trust, and integrity. · Due Diligence, Gap Analysis & Remediation: Conduct seller compliance program due diligence (post LOI); work with ACA Global o ...

This Compliance Manager role oversees and advises on KYC CDD EDD and AML sanctions risk management for Corporate Trust Agency Institutional Client Services Personal Trust Wealth Management and High Net Worth UHNW clients. · This role will be the primary liaison between ISWM and t ...

We are hiring a Compliance Manager to work closely with our compliance team and leadership teams to build, execute, and enhance compliance programs that support Aspen's RIA platform advisory businesses. · ...

We're seeking a future team member for the role Director, Business Compliance Officer to join our Risk & Compliance team. · Wealth Compliance. · This role is located in New York City. ...

We are seeking a highly motivated Corporate Paralegal to join our Legal & Compliance team. · The ideal candidate thrives in a collaborative, fast-paced fintech environment and can navigate complex cross-functional projects spanning legal, · compliance and business operations. · S ...

We are seeking a Compliance Administrator to support the development and implementation of Hoxton Wealths U.S. compliance program. · ...

We are seeking an experienced Product Owner with strong domain expertise in Wealth Management, Banking Operations, Fraud Risk Management and Cheque to define and drive the product roadmap for digital wealth solutions while ensuring robust fraud controls and operational risk mitig ...

We're hiring a Principal Product Manager to own the systems, integrations, workflows, and infrastructure that power Titan's wealth management platform. · Drive Technical Execution Across Critical Wealth SystemsOwn and manage projects involving custodial integrations (e.g., Schwab ...

The Personal Wealth Team Head will lead and manage a team of Wealth Relationship Managers to achieve sales targets and deliver exceptional wealth management solutions. · ...