5 professional services jobs found

Fidelity Investments Job Description: The Team Asset Management Compliance ('AMC') works closely with Fidelity's investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernization, and talent development. AMC associates are passionate about delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the industry. In support of the FMR and Strategic Advisers Sub-Adviser compliance programs, the AMC Sub-Adviser Oversight Team performs initial due diligence on prospective sub-adviser candidates and ongoing oversight of Board approved sub-advisers. We interact frequently with Fidelity control partners, including Legal, Treasurer's...

Barclays Strengthen Financial Crime Prevention at Barclays - Take on a critical role conducting AML-related investigations and guiding AML excellence. In your role as AML Senior Analyst, you'll play a critical role investigating and documenting highly detailed alerts generated by our automated surveillance systems, as well as manual referrals from areas such as Fraud, Subpoenas, and 314(a) inquiries. You will ensure investigations meet the highest standards of quality and productivity and file a SAR on potential suspicious activity where appropriate. In addition to supporting day to day alert reviews, you'll participate in special projects including remediation efforts, PEP and elder abuse reviews, and new technology projects. Acting as a subject matter expert, you will provide guidance to junior analysts during their accreditation phase, assist with training material development, and lend experience to AML Operations projects. Through this work, you'll strengthen Barclays'...

Fidelity Investments Job Description: Compliance Director, Cash Management and Payments The Role The Compliance Director position is a role within the Wealth and Brokerage (W&B) Compliance team, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the Fidelity Brokerage Services (FBS) broker-dealer. This role may support a diverse variety of products and service initiatives; however, it will largely be focused on payment capabilities and cash management features. The Expertise and Skills You Bring Prior experience with payment capabilities and cash management features, such as debit cards and credit cards and the related regulations is strictly required. Debit Card experience should include retail (direct to consumer), intermediary advisor managed, and employer sponsored healthcare debit card offerings. Familiar with and developed a payment/debit card program with a focus on policies and...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Barclays Embark on a transformative journey as a Financial Intelligence Unit Investigator AVP. You will be responsible for the investigation and regulatory reporting of complex and priority financial crime threats, and the ongoing identification of emerging and key threats through the use of strategic and data driven intelligence. You will assist the FIU in ensuring compliance with internal policies and procedures, relating to AML investigations, as well as ensuring the Bank meets its statutory and regulatory obligations for reporting suspicious activity, in addition to assisting in the disruption of financial crime within Barclays and in the wider industry. To be successful as a Financial Intelligence Unit Investigator AVP, you should have experience with: AML Compliance and Bank Secrecy Act or other relevant experience Intelligence or investigative experience involving financial crime related matters, including terrorism, human trafficking, bribery &...