Senior Director, Wealth Compliance - New York

We're seeking a future team member for Senior Director, Wealth Compliance to join our Wealth Compliance program team. · This role makes an impact by supporting compliance programs across complex business models · At BNY we power futures finance together. · ...

We're seeking a future team member for the role of Senior Director, Wealth Compliance to join our Wealth Compliance program team. · This role is located in New York. · In this role you'll make an impact by supporting compliance program for wealth management ensuring alignment wit ...

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 ...

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 ...

We are seeking an experienced Wealth Advisory Asset Management Compliance Attorney to join our team. · ,,Juris Doctor (J.D.) from an accredited law school. · Member in good standing of at least one U.S. State Bar. · ,,An entrepreneurial mindset with ability to thrive in an enviro ...

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. · ...

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. · ...

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. · ...

Work with the Private Bank to advise affluent clients. The Chief Operating Officer plays a key role in partnering with the Head of Wealth to run day-to-day operations. · ...

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. · ...

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 ...

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 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. · ...

Wealth Management Attorney will deliver impactful legal advice to drive J.P. Morgan Wealth Management's success working alongside top professionals in a dynamic collaborative inclusive environment elevating your career with a team that values your skills fostering professional gr ...