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Compliance Officer, GRB Compliance/NAM AB&C Compliance
Responsibilities : The candidate shall be leading an AB&C risk assessment; primary responsibility for development and execution of AB&C monitoring and controls, enhancing compliance processes; serving as a go-to-advisor to a wide variety of internal stakeholders on AB&C compliance; conducting AB&C due diligence on third parties and new products/transactions, orchestrating and participating in several Compliance and Bus...
Tax Accountant III
The candidate will support the creation of reporting pillar within the Center of Excellence. Will support the operation of Reporting Pillar, phasing in LOBs across Wholesale over the next 2 years. Ensure implementation of additional LOBs is effective, efficient and complete in planning and execution. Ensure all tax information reporting adheres to tax rules and regulations. Support for training and operational processes and documentation. Identify tax ri...
Director Innovation Center
Duties: Establish a program to identify, evaluate, develop and monetize new technologies. Develop and implement a process for initial screening and evaluation, due diligence, negotiation of financial terms with inventors and collaborators, drafting of development milestones, budgeting for development work, creation of capital plans, discussion with potential investors, formation of separate business entities where needed, and promoting the sale...
Active Directory Engineer
The candidate will be responsible for providing Active Directory engineering support focusing on the design, installation, configuration, development, integration, implementation, and testing of Active Directory services in a complex environment with multiple classification enclaves and integrated with Department of Defense (DoD) Command and Control (C2) systems utilizing associated information assurance (IA) processes/procedures. Will be responsi...
The candidate will provide day to day support for matters dealing with HBSS to include deployment, implementation and sustainment. Will correlate incident data to identify specific vulnerabilities and make recommendations that enable remediation. Perform analysis of log files from a variety of sources to identify possible threats to network security. Perform computer network defense incident triage to include determining scope, urgency, and potential impact. ...
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Responsibilities: Will provide legal advice and representation to company in order to prevent operational losses resulting from litigation or governmental fines. Perform a variety of legal activities in accordance with the established standards of the legal profession to protect the organization’s reputation and business interests and help ensure it complies with all relevant laws and regulations. Provide legal advice within area of expertise to functio...
VP, Advisory Compliance
The candidate will serve as a senior leader in the GRC department and is responsible for the coordination and execution of substantive and varied risk management functions within Advisory Compliance. Reporting to the SVP and Deputy Chief Compliance Officer, Advisory, this individual will lead the implementation and enforcement of firm policies related to the Investment Adviser's Act of 1940 for the corporate investment advisor and corporate advisors...
Senior Analyst, AML Advisory, FIU
Duties: Be part of the AML Advisory team whose mission is to assist the firm to comply with the requirements of the Bank Secrecy Act and financial sanctions, and rules and guidance from the SEC, FINRA, FinCEN, and OFAC. Reports to the Vice President, AML Advisory Group and will be responsible for assisting in providing AML Advisory oversight for Financial and its affiliate, PTC, a trust company, as well as developing and executing the AML ...
Senior Advanced Markets Consultant
Duties: Complex case expert – Consult with advisors on cases where greater experience is required. Interactions with advisors include advanced sales strategies, mining books of business, occasional point-of-sale assistance. Advisor Outreach – Follow-up on larger illustrations sent to advisors. Discussions with advisors on pivoting between illustrations. Strategy execution – Takes lead on sales initiatives inside a territory working ...
AVP Associate Counsel, Litigation
The candidate will primarily be responsible for learning about and counseling Business Units on a wide variety of issues. Expected to identify, escalate, and mitigate business and litigation risks to the firm. Counsel the business and Financial Advisors about best practices, and potential and actual disputes with other entities. Collaborate and provide learnings to the business, and internally within the Legal Department. Assist in the cre...