Wealth Management Compliance Officer

About the Company Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000...

Judson Group has been retained by a $19B+ RIA with a national presence in their search for a Senior Wealth Manager. This individual will be managing and servicing client relationships. They will be responsible for managing client relationships, reviewing portfolio performance with clients, investment analysis, financial planning, and performing research...

Job SummaryGroup Risk Management is responsible for providing independent and objective oversight of the management of significant risks arising from RBC's businesses and operations, supported by comprehensive risk management frameworks, policies and practices, robust risk management systems, and experienced professionals. Key internal and external...

Job DescriptionJob DescriptionSalary: Recognized by Forbes magazine as a Top Best-in-State Financial Security Professional, our financial practice’s mission is to build long-term client relationships that inspire confidence, optimism, and happiness by guiding individuals and businesses to achieve total clarity around their financial lives.  We do this by...

Job SummaryJob DescriptionWhat is the opportunity?As the Head of Wealth Management (WM) US Litigation, you will have responsibility and accountability for overseeing and managing pending and actual litigation and regulatory matters for RBC's US Wealth Management business segment on an individual and portfolio basis. Managing this function includes providing...

Job SummaryJob DescriptionWhat is the opportunity?You will contribute to the holistic planning of our Private Client Group (PCG) by partnering with RBC Financial Advisors and Wealth Strategists to leverage their time, talents and resources in gathering and maintaining assets of high net worth clients. Through the RBC planning process, you will provide expert...

Provide inter-disciplinary advisory services combining rules, regulations and best practice guidance for banking and payment services activities. Respond to U.S. regulatory and legislative developments to identify processes that require modification Compliance Officer, Lead, Compliance, Officer, Product Development, Senior, Business Services

Cetera Trust Company (CTC) is an affiliate of Cetera Financial Group, a premier wealth advisory organization specializing in providing personalized investment management services. A key component of this role is developing strong working relationships with the financial professionals who partner with Cetera Trust to service their mutual clients and...

Join Anaplan's growing Privacy Team as our new Privacy Compliance Manager. We seek a candidate who can come into an Anaplan office on a hybrid schedule 2 days/week. Your Impact Assist with DPA reviews and negotiations Maintain current knowledge of applicable federal, state, and international privacy laws and accreditation standards, and monitor advancements...

Job DescriptionWhat is the opportunity?As the Head of Wealth Management (WM) US Litigation, you will have responsibility and accountability for overseeing and managing pending and actual litigation and regulatory matters for our client’s US Wealth Management business segment on an individual and portfolio basis. Managing this function includes providing...

Opportunity available for a Security Compliance Project Manager In this role you will work security, compliance, and development teams. Responsibilities Deliver projects on time and within budget, which meet strategic and business requirements.Manage complex, strategic corporate initiatives while providing coaching and mentoring to other project team...

Opportunity available for a Security Compliance Project Manager In this role you will work security, compliance, and development teams. Responsibilities Deliver projects on time and within budget, which meet strategic and business requirements.Manage complex, strategic corporate initiatives while providing coaching and mentoring to other project team...

The Commercial Loan Officer manages a loan portfolio of all types of business loans, including SBA, CRE, C&I, and business lines of credit. The Commercial Loan Officer is responsible for soliciting, negotiating, underwriting, and coordinating the closing of commercial loans in compliance with the Bank's lending policies and procedures. They develop...

Principal Product Manager - Compliance As a Principal Product Manager of Compliance, you will be responsible for ensuring that Epicor's products meet the highest standards of quality, security, and compliance across different markets and industries. You will work close with product management and development, legal, sales, marketing, and customer...

Job SummaryProvides small business tax, accounting and consulting services to the growing suite of existing and new small business clients. Applies complete knowledge, skills, and practices to perform assignments.Job DescriptionAddresses client questions and billing inquires related to accounting.Provides appropriate financial solutions to clients in order...

Job DescriptionJob DescriptionSalary: At Carlson Capital Management (CCM), we deliver a fully integrated, client-centered wealth management experience that exemplifies superior care and upholds the industry’s highest fiduciary standards. Our employee-owned firm offers customized investment, estate, tax, retirement, insurance, and philanthropic planning to...

Job DescriptionJob DescriptionSalary: At Carlson Capital Management (CCM), we deliver a fully integrated, client-centered wealth management experience that exemplifies superior care and upholds the industry’s highest fiduciary standards. Our employee-owned firm offers customized investment, estate, tax, retirement, insurance, and philanthropic planning to...

**Company** Federal Reserve Bank of Minneapolis The Federal Reserve Bank of Minneapolis is seeking a Compliance Business Analyst for the newly formed Enterprise Compliance division to help build and implement a robust compliance function through collaborating with a wide variety of individuals and functions across Bank departments including senior...

Project Manager II (Compliance) Location: Richfield, MN (Hybrid Schedule)Tell us about your department: Enterprise Information Protection's mission is to identify, protect against, detect, and respond to information security threats across all entities and subsidiaries, reasonably mitigating risks to the confidentiality, integrity, and availability of Best...

Job DescriptionJob DescriptionTitle: Project Manager(Security Compliance)Location: Minneapolis MNWork Arrangement: Hybrid, onsite 3 days/weekContract Duration: through December 31, 2024 Overview: This posting is for a PM who will be working with security, compliance, and development teams to establish a scalable regional internal governance capability....