Risk & Compliance Lead - Wealth Management
Morgan Stanley
Morgan Stanley is looking for a professional responsible for risk management and compliance functions in Los Angeles. This role involves overseeing all risk and supervisory duties, ensuring compliance with industry regulations, and providing guidance on policies and procedures. Candidates should possess a Bachelor’s degree, relevant industry experience, and must hold active licenses such as Series 7 and 63. Effective communication and strong leadership capabilities are essential. #J-18808-Ljbffr Morgan Stanley
$175k - $225k
LEAD FIDUCIARY COMPLIANCE SPECIALISTWHAT IS THE OPPORTUNITY?The Lead Bank Fiduciary Compliance Specialist... ...of compliance programs within Wealth Management with specific focus on OCC 12 CFR 9... ...monitoring compliance activities, supporting risk assessments and testing efforts, and...SuggestedWork at officeRemote work- Baker Tilly is seeking a High Net Worth Tax Principal to lead a private wealth practice serving wealthy individuals, families, and private businesses. You will guide complex tax planning and multi-generational strategies while mentoring a team and collaborating with firm...SuggestedPrivate practice
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- MAI Capital Management, LLC. is seeking a Senior Advisory Associate in Los Angeles to serve as the primary relationship lead for Ultra-High Net Worth clients. The role emphasizes efficient... ...have over 5 years of experience in wealth management or financial services, strong...Work at office
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- Morgan Stanley in the United States is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting... ...ethics, adherence to laws, and proactive risk management within Wealth Management. Responsibilities include guiding...
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- ...Advisor seeking to transform traditional wealth management. Our quest is to integrate the... ...larger organizations. The Role The Team Lead role is designed to centralize managerial... ...improvement and development and mitigates risks and potential issues. Team Leads will tactically...
- Citi Wealth at Work is seeking an Investment Counselor Senior Vice President in Los Angeles to serve High Net Worth and Ultra High Net Worth clients with sophisticated investment strategies and private banking services. The role focuses on building trusted advisory relationships...
- Cerity Partners Management LLC is seeking a Wealth Advisor in Los Angeles to serve as a key relationship manager and develop personalized wealth planning... ...strategies. This role involves onboarding new clients, leading client meetings, collaborating across departments, and...Flexible hours
$106.2k - $157.2k
Sunflower Financial Inc. is seeking a full-time Wealth Management Advisor II for our Los Angeles, CA location. This role requires collaborating to maintain a high-net-worth client base and managing client portfolios. Competitive salary between $106,200 to $157,200 based...Full time- ...President to join its client relationship team, delivering world‑class wealth and investment guidance to ultra‑high‑net‑worth clients. The VP... ...to meet deadlines. Requires 5-7+ years in investment/wealth management and willingness to travel for client #J-18808-Ljbffr...
$116k - $145k
Job Summary Lead Analyst - Technology Strategy, Planning & Risk Location: Chicago, California, New York, Washington Division: Ticketmaster NA Line Manager: Senior Director - Technology Strategy Contract... ...sick time, and personal days WEALTH: 401(k) program with company match...Full timeContract workLocal areaFlexible hours$200.72k - $301.08k
Wealth at Work - Investment Counselor Sr. Lead - Senior Vice President at Citigroup. Los Angeles... ..., accountants, asset managers and management professionals... .... Appropriately assess risk when business decisions... ...and assets, by driving compliance with applicable laws, rules...Full time- ...advice and tailored financial solutions to meet their complex wealth management needs. The ideal candidate will possess exceptional... ...selling skills, strong negotiation abilities, and a deep understanding of compliance within the financial sector. #J-18808-Ljbffr...
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- Morgan Stanley Wealth Management is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. The role collaborates with the Senior Risk Officer to maintain a compliant environment, guided by SEC/FINRA regulations and internal...
- ...credibility by understanding adviser operations, not just software. The role is hybrid with 3 days/week in Dallas or Culver City offices; you’ll partner across Sales, CS, Operations, Product, Engineering, and Compliance to accelerate time-to-value for #J-18808-Ljbffr Altruist3 days per week
- Brighton Jones in Los Angeles seeks an Advisor to manage day-to-day client service teams, providing analytical, operational and administrative... ...acquisition, implementation and retention of clients. You will lead client meetings, review portfolios, and develop strategies in...
$200k - $220k
...looking for a Dentist- Oral Health Quality Lead to ensure high-quality dental services and compliance in all clinics. The role demands a DDS/DMD,... ...leadership skills. Responsibilities include managing quality assurance and risk compliance, as well as providing...- District Partners is recruiting for a Client Acquisition Manager to bridge Marketing and Business Development, transforming digital interest... ...with high-net-worth individuals. You will research inbound leads, evaluate fit against the ICP, and connect prospects with the right...
$100k - $150k
...ongoing control maturity efforts. Lead preparation and responses for... ...accurate, consistent, and risk‑aligned responses. Track... ...similar GRC platforms for audit management, issue tracking, and evidence... ...Information Security, Systems, Risk, Compliance, or a related field. 6-8...2 days per week3 days per week$182.7k - $339.3k
M&T Bank Corporation is looking for a manager in wealth management to lead and develop client relationships in Los Angeles, California. Candidates... ...of $182,700.00-$339,300.00 annually and emphasizes compliance with risk standards. An MBA or similar certification is...- Jobtailor in Los Angeles seeks an experienced vendor risk manager to oversee vendor performance, compliance, and risk reporting to senior management. You will help develop risk mitigation strategies and drive audits with internal teams and vendors. The role requires a...
- ...seeking an experienced Private Banker to join our team in Los Angeles. This role focuses on advising clients in building and managing their wealth with a client-centric approach. You will utilize your expertise in financial planning, investments, and banking to deliver...
- Regal Executive Search is seeking a Corporate Audit Director to oversee the US auditing team’s daily operations and develop comprehensive audit strategies. The successful candidate, ideally with 15+ years of experience and managerial expertise, will play a pivotal role ...
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