wealth management manager

TransGlobal Holding Co.

<div>
 
 
 
 
 
 GENERAL FUNCTION / SUMMARY
 
 
 
 
 
 
 
 
 
 Wealth Management Operations Manager plays a critical leadership role in directing the firm's regulatory compliance, advisor registration, training programs, reporting processes, and overall operational support. This position ensures strict adherence to SEC, FINRA, and state regulatory requirements while serving as a vital resource for Investment Adviser Representatives (IARs), clients, and internal teams. Success in this role demands exceptional organizational acumen, meticulous attention to detail, and the capacity to seamlessly manage multiple compliance and operational priorities in a dynamic environment.
 
 
 
 
 
 &nbsp;
 
 
 
 
 
 
 
 MAJOR DUTIES AND RESPONSIBILITIES
 
 
 
 
 
 
 
 
 
 
 Compliance &amp; Reporting
 
 
 
 
 
 <ul>
 
 <li>
 
 
 Oversee annual renewal filings and direct year-end calculations of Assets Under Management (AUM) and firm positions, ensuring precision and regulatory compliance.
 
 
 </li>
 
 <li>
 
 
 Coordinate annual distribution to all clients, guaranteeing accuracy, transparency, and
 
 
 timely
 
 
 delivery.
 
 
 </li>
 
 <li>
 
 
 File annual state reports in partnership with the tax department to
 
 
 maintain
 
 
 compliance across
 
 
 jurisdictions
 
 
 .
 
 
 </li>
 
 <li>
 
 
 Coordinate and oversee annual compliance training with external compliance consultants,
 
 
 monitor
 
 
 and document staff participation.
 
 
 </li>
 
 <li>
 
 
 Collect and review quarterly
 
 
 transactions
 
 
 and gift reports from Investment Adviser Representatives (IARs) and staff.
 
 
 </li>
 
 <li>
 
 
 Develop, review, and approve marketing materials, weekly market updates, and social media communications to ensure compliance and brand consistency.
 
 
 </li>
 
 <li>
 
 
 Maintain proactive communication with compliance consultants to stay informed
 
 
 of
 
 
 evolving SEC, FINRA, and state regulations.
 
 
 </li>
 
 <li>
 
 
 Support SEC audits by preparing documentation, managing requests, and delivering
 
 
 timely
 
 
 responses.
 
 
 </li>
 
 <li>
 
 
 Maintain comprehensive compliance logs and reporting systems to support audit readiness and regulatory examinations.
 
 
 </li>
 
 </ul>
 
 
 
 
 
 
 Financial &amp; Operational Oversight
 
 
 
 
 
 
 <ul>
 
 <li>
 
 
 Prepare and issue annual compliance fee invoices to Investment Adviser Representatives (IARs) and coordinate collections with Accounting.
 
 
 </li>
 
 <li>
 
 
 Coordinate bookkeeping activities with
 
 
 Accounting
 
 
 , including making payments to service providers and
 
 
 submitting
 
 
 invoices for processing. Administer annual renewal fees and other firm payments, ensuring accuracy, compliance, and
 
 
 timely
 
 
 forwarding of all documentation to
 
 
 Accounting
 
 
 .
 
 
 </li>
 
 <li>
 
 
 Analyze and review financial statements, including balance sheets, income statements, and cash flow reports.
 
 
 </li>
 
 <li>
 
 
 Validate client fee calculations, commission structures, and agent compensation for accuracy and compliance.
 
 
 </li>
 
 <li>
 
 
 Conduct quarterly reviews of management fee collections and invoice distributions to ensure consistency and transparency.
 
 
 </li>
 
 <li>
 
 
 Audit monthly AUM calculations to confirm accuracy and regulatory alignment.
 
 
 </li>
 
 <li>
 
 
 Supervise daily trading operations, approve trades, and perform quarterly reviews of trade blotters.
 
 
 </li>
 
 <li>
 
 
 Execute monthly portfolio and cash rebalancing trades to
 
 
 maintain
 
 
 investment strategy alignment.
 
 
 </li>
 
 <li>
 
 
 Manage structured
 
 
 notes
 
 
 transactions, including reviewing SN selections, vendor communications, order submissions, and compliance oversight.
 
 
 </li>
 
 <li>
 
 
 Review and authorize client agreements (IMA, IPS) and related documentation to ensure compliance and accuracy.
 
 
 </li>
 
 </ul>
 
 
 &nbsp;
 
 
 
 
 
 
 
 Client &amp; Employee Support
 
 
 
 
 
 
 <ul>
 
 <li>
 
 
 Respond promptly to inquiries from clients and IARs, delivering
 
 
 accurate
 
 
 information and professional support.
 
 
 </li>
 
 <li>
 
 
 Facilitate and coordinate meetings between clients and portfolio managers to discuss investment strategies and options.
 
 
 </li>
 
 <li>
 
 
 Manage hotline communications, ensuring efficient handling of calls and resolution of client concerns.
 
 
 </li>
 
 <li>
 
 
 Maintain daily communication with clients and staff
 
 
 regarding
 
 
 account openings, transfers, commissions, and rate inquiries.
 
 
 </li>
 
 <li>
 
 
 Resolve complex compliance and operational issues, escalating matters beyond assistant scope and ensuring
 
 
 timely
 
 
 resolution.
 
 
 </li>
 
 <li>
 
 
 Train and onboard new employees in compliance protocols and operational procedures, fostering consistency and regulatory adherence.
 
 
 </li>
 
 </ul>
 
 
 &nbsp;
 
 
 
 
 
 
 
 Monitoring &amp; Vendor Management
 
 
 
 
 
 
 <ul>
 
 <li>
 
 
 Perform comprehensive due diligence on third-party vendors, including investment products, compliance partners, and operations software providers, to ensure reliability and regulatory alignment.
 
 
 </li>
 
 <li>
 
 
 Oversee and
 
 
 monitor
 
 
 daily communications within the operations team to remain informed of activities,
 
 
 identify
 
 
 issues proactively, and
 
 
 maintain
 
 
 workflow transparency.
 
 
 </li>
 
 </ul>
 
 
 &nbsp;
 
 
 
 
 
 
 
 BASIC QUALIFICATIONS
 
 
 
 
 
 
 <ul>
 
 <li>
 
 
 Bachelor's degree in Finance
 
 
 , Business Administration, or related field.
 
 
 </li>
 
 <li>
 
 
 3+ years of experience in compliance, operations, or financial services.
 
 
 </li>
 
 <li>
 
 
 Excellent organizational, communication, and problem-solving skills.
 
 
 </li>
 
 <li>
 
 
 Proven ability to manage multiple priorities and meet critical deadlines in a fast-paced environment.
 
 
 </li>
 
 <li>
 
 
 Strong knowledge of SEC, FINRA, and state regulatory requirements.
 
 
 </li>
 
 <li>
 
 
 
 
 Preferred to have one of the following - SIE, Series 6, Series 7, or Series 65
 
 .
 
 
 
 </li>
 
 </ul>
 
 
 &nbsp;
 
 
 
 
 
 WHO WE ARE
 
 
 
 
 
 
 With over 30 years of experience, TransGlobal has grown into the largest Asian-focused, all-in-one financial services platform in the U.S. We offer a comprehensive suite of services-including life and health insurance, annuities, real estate, private lending, tax and estate planning, and investment management-through a network of 30+ branches across 14 states and over 5,000 professional independent agents. Our mission is to deliver trustworthy, customer-centric financial solutions, all in your language and aligned with your goals.
 
 
 
 
 &nbsp;
 
 
 
 
 
 WHY JOIN US
 
 
 
 
 <ul>
 
 <li>
 
 
 Industry Leader
 
 : Join the nation's largest Asian-focused financial services firm with a well-established brand and expansive network.
 
 </li>
 
 <li>
 
 
 Multilingual &amp; Multicultural
 
 : Work in a dynamic, diverse environment that understands and serves multicultural communities.
 
 </li>
 
 <li>
 
 
 Career Growth
 
 : Access to cross-functional training, licensing support, and professional development opportunities.
 
 </li>
 
 <li>
 
 
 Collaborative Culture
 
 : Be part of a supportive team that values innovation, initiative, and shared success.
 
 </li>
 
 <li>
 
 
 Impactful Work
 
 : Help individuals and families achieve financial security and generational wealth.
 
 </li>
 
 </ul>
 
 
 &nbsp;
 
 
 
 
 
 WHAT WE OFFER
 
 
 
 
 <ul>
 
 <li>
 
 Competitive salary and benefits package.
 
 </li>
 
 <li>
 
 Opportunity to work in a collaborative and innovative environment.
 
 </li>
 
 <li>
 
 Professional development and growth opportunities.
 
 </li>
 
 <li>
 
 H-1B sponsorship available.
 
 </li>
 
 <li>
 
 Pay starts at $78K - $100K/year based on experience.
 
 </li>
 </ul>
</div>

Wealth Management Operations Manager (Bilingual in Chinese) – H1B Sponsorship Available

Goldman Sachs

<div>
 
 Job Description
 
 
 
 
 YOUR IMPACT
 
 
 
 Are you a quick-thinking self-starter with a passion for the financial markets, the desire to work closely with portfolio managers, and the ability to think outside the box? We are seeking Financial Analysts who have the ability to thrive in a fast-paced environment where attention to detail, strong communication skills, and client service are essential to maintaining and enhancing our business.
 
 
 
 OUR IMPACT
 
 
 
 
 Wealth Management
 
 
 
 Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees. Our consumer business provides digital solutions for customers to better spend, borrow, invest, and save. Across Wealth Management, our growth is driven by a relentless focus on our people, our clients and customers, and leading-edge technology, data and design.
 
 
 
 Private Wealth Management (PWM)
 
 
 
 Goldman Sachs Private Wealth Management (PWM) specializes in creating comprehensive wealth management plans for high net worth individuals and families, as well as select institutions, including foundations and endowments. PWM Teams work one-on-one with clients to advise and deliver customized strategies drawn from our deep investment experience, diverse wealth management capabilities and global reach. Our Private Wealth Advisors (PWAs) deliver an unparalleled investment platform inclusive of the full product and service offerings of Goldman Sachs and beyond, which may include tax and estate planning, philanthropic planning and private banking and lending services. As client needs evolve, this close relationship allows the team to offer complementary services and new opportunities by leveraging the resources of Goldman Sachs and beyond.
 
 
 Our Financial Analysts provide relationship management and support to PWM by monitoring portfolio holdings, analyzing asset allocations, researching potential investments, understanding financial market developments and trends, and executing trades while gaining a broad-based understanding of the asset management business.
 
 
 
 How You Will Fulfill Your Potential
 
 
 
 <ul>
 <li>
 Work closely with Private Wealth Advisors to assist with relationship management and investment processes for high net worth clients
 </li>
 <li>
 Monitor client portfolios to assess manager performance, identify re-balancing opportunities and recommend tactical investment ideas
 </li>
 <li>
 Create asset allocation proposals for new clients across a broad spectrum of managers, styles and vehicles to conform with client risk profiles and investment objectives, as well as the firm&rsquo;s strategic views
 </li>
 <li>
 Prepare client-facing materials depicting asset allocation and performance
 </li>
 <li>
 Diligence internal and third-party investment opportunities across the public and private markets
 </li>
 <li>
 Synthesize research material and communicate firm views to clients
 </li>
 <li>
 Support business development efforts by researching qualified prospects and tracking relevant capital raises
 
 
 </li>
 </ul>
 
 Skills &amp; Experience We&rsquo;re Looking For
 
 
 
 <ul>
 <li>
 Bachelor's Degree required
 </li>
 <li>
 Ability to work in a fast-paced environment and think clearly under pressure
 </li>
 <li>
 Strong interest in the financial markets and good investment sense/commercial instinct
 </li>
 <li>
 Ability to multi-task and work with numerous colleagues and desks across the Firm
 </li>
 <li>
 Strong verbal and written communication skills
 </li>
 <li>
 Strong organizational and interpersonal skills
 </li>
 <li>
 SIE, Series 7 and 63 required (must be obtained within three months of employment)
 
 
 </li>
 </ul>
 
 About Goldman Sachs
 
 
 
 At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
 
 
 We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
 
 
 We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.htl
 
 
 &copy; The Goldman Sachs Group, Inc., 2025. All rights reserved.
 
 
 Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
 
 
 
 Salary Range
 
 
 
 The expected base salary for this New York, New York, United States-based position is $75000-$125000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
 
 
 
 Benefits
 
 
 
 Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here .
</div>

Asset & Wealth Management, Private Wealth Management, Financial Analyst - New York

Benefit Financial Services Group

About BFSGBenefit Financial Services Group is a fiduciary wealth management firm serving individuals, families, business owners, and institutions. Guided by our &ldquo;Investing by Design&rdquo; philosophy, we emphasize personalized advice, education, transparency, and a boutique client experience. Our Phoenix office is dedicated to the Wealth Management practice, where a high-touch service model helps clients make informed financial decisions with confidence.Position OverviewWe are looking for a versatile Wealth Manager who is equal parts relationship builder, analytical thinker, financial planner, and business developer. This generalist role spans client service, financial planning support, portfolio oversight, and investment research&mdash;ideal for someone who thrives on variety and wants meaningful involvement across the advisory process.You will work closely with senior advisors to serve existing clients, engage with prospective clients, and contribute to the growth of the firm. While the role includes exposure to investment strategy, the primary emphasis is on delivering an exceptional client experience and contributing to the planning and investment process with analytical rigor.Key ResponsibilitiesClient Relationship Management<ul><li>Serve as a key member of the advisory team, delivering a high-touch, responsive client experience.</li><li>Conduct client meetings and communicate wealth management strategy, investment recommendations, and market developments clearly and confidently.</li><li>Build familiarity with each client&rsquo;s goals, circumstances, and portfolio to contribute meaningfully to service and advice discussions.</li></ul>Financial Planning Support<ul><li>Contribute to comprehensive wealth management conversations spanning investment strategy, retirement planning, cash flow, tax-aware decision-making, and estate planning coordination.</li><li>Stay current on planning topics, economic developments, and industry trends relevant to clients.</li></ul>Investment Research &amp; Portfolio Oversight<ul><li>Conduct research and analysis on financial markets, macroeconomic trends, sectors, and investment strategies to support client conversations and internal decision-making.</li><li>Review portfolio holdings, allocation positioning, performance, and implementation considerations in coordination with the investment team.</li><li>Assist with portfolio rebalancing, trade-related analysis, and due diligence as needed.</li></ul>Business Development<ul><li>Support the sales process by preparing for prospect meetings, contributing to presentations and proposals, and managing follow-up communications.</li><li>Reinforce BFSG&rsquo;s value proposition to prospective clients and help identify opportunities to deepen existing relationships.</li><li>Prepare written and presentation materials for client reviews, market commentary, and prospect engagements.</li></ul>QualificationsRequired<ul><li>3&ndash;5 years of experience in the financial services industry.</li><li>Prior experience in wealth management or advisory services in a client-facing role.</li><li>Undergraduate degree (finance, economics, or related field preferred).</li><li>Strong analytical, quantitative, and critical-thinking skills.</li><li>Excellent written and verbal communication skills, with the ability to explain investment and planning concepts clearly to clients, colleagues, and prospects.</li><li>Proficiency in Excel</li><li>Comfort participating in client and prospect meetings in a polished, professional manner.</li><li>High level of professionalism, intellectual curiosity, and attention to detail.</li><li>Strong interpersonal skills and a team-oriented approach.</li><li>Clean U4 record.</li><li>Series 65 or equivalent within 120 days of employment.</li><li>Willingness to pursue the CFP&reg; certification if not already obtained.</li><li>Willingness to pursue the CFA&reg; charter if not already obtained.</li></ul>Preferred<ul><li>CFP&reg; certification/designation or active candidacy.</li><li>CFA&reg; charter or active candidacy.</li><li>Familiarity with investment research, financial planning, and portfolio analytics tools.</li></ul>Who Thrives in This RoleThe ideal candidate is someone who genuinely enjoys working with people and doesn&rsquo;t want to be siloed into a single function. You&rsquo;re energized by a morning spent preparing a client review, an afternoon analyzing a new investment idea, and a late-day call with a prospective client. You pair analytical rigor with sound judgment, and you&rsquo;re looking for a firm where your contributions are visible and valued.Why Join BFSG<ul><li>Work directly with experienced advisors in a fiduciary, client-first environment.</li><li>Meaningful exposure across the full advisory lifecycle: client relationships, wealth management strategy, business development, and investment oversight.</li><li>Visible, client-facing role with real influence on firm growth.</li><li>Collaborative, high-accountability culture with a long-term mindset.</li><li>Clear path for professional development, increased responsibility, and career advancement.</li><li>Competitive benefits including health insurance, 401(k) retirement plan, and paid time off.</li></ul>Equal Opportunity EmployerBFSG is an equal opportunity employer and bases its employment decisions on the employee or candidate&rsquo;s skillset, and without regard to an employee or candidate&rsquo;s race, color, religion, sex (including pregnancy), gender identity, sexual orientation, national origin, age, disability, genetic information, veteran status, or any other characteristic protected by local, state and/or federal law.BFSG complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact contactus@bfsg.com.Job Type: Full-timePay: $100,000.00 - $120,000.00 per yearBenefits:<ul><li>401(k)</li><li>401(k) matching</li><li>Dental insurance</li><li>Health insurance</li><li>Paid time off</li><li>Professional development assistance</li><li>Referral program</li><li>Retirement plan</li><li>Vision insurance</li></ul>Physical Setting:<ul><li>Office</li></ul>Education:<ul><li>Bachelor's (Required)</li></ul>Experience:<ul><li>wealth management: 3 years (Required)</li></ul>License/Certification:<ul><li>Series 65 (Preferred)</li></ul>Work Location: In person

Wealth Manager

JPMorganChase

<div>JOB DESCRIPTION 
Our New Joiner Experience function is committed to delivering a complete candidate experience from the moment a candidate engages with us through their first 30 days with the company.
As a Full Lifecycle Executive Recruiter within JPMorgan, you will ensure your clients are optimally positioned to attract, source, and recruit top talent, both internally and externally. You will be responsible for staffing the business with quality hires, offering strategic talent acquisition solutions, and proactively building pipelines for future needs. As a segment subject matter expert, you will oversee the entire recruitment lifecycle for roles within your segment.
Job Responsibilities<ul>
<li>Qualify new searches, ensuring information is accurate and job descriptions align with global guidance</li>
<li>Lead requirement intake calls with hiring managers and offer guidance on the recruitment processes, controls and policies</li>
<li>Proactively map talent, create, add to, and manage candidate talent pools and operate as a specialist within your market</li>
<li>Source and pipeline qualified candidates through a wide variety of channels, supported by your aligned sourcing partner when required</li>
<li>Evaluate (screen), interview and present qualified candidates to hiring managers
</li><li>Partner with the interview scheduling team to arrange candidate interviews with hiring teams</li>
<li>Provide a positive candidate experience with frequent and timely communication throughout the recruitment process; share manager feedback and appropriately disposition candidates in real time</li>
<li>Act as a subject matter expert, influencing decision making and effectively manage hiring manager and candidate expectations</li>
<li>Conduct pre-offer candidate calls and take ownership of offer negotiation and management</li>
<li>Liaise with hiring managers, human resources, and compensation partners to ensure appropriate offer approvals are in place</li>
<li>Present to and update senior client groups on recruiting activity and manage escalations effectively</li></ul>
Required qualifications, capabilities, and skills<ul>
<li>6+ years of experience working within a recruiter role either in-house or within a talent acquisition agency
</li><li>Experience sourcing and pipelining talent
</li><li>Demonstrate excellent client management skills
</li><li>Demonstrated ability to build relationships and deliver a first class candidate experience</li>
<li>Excellent communication skills both written and verbal</li>
<li>Demonstrated ability to present recruiting activity to senior clients when required</li>
<li>Demonstrated ability to manage client expectations and escalations where appropriate</li>
<li>Good prioritization and organizational skills with the ability to multi-task
</li><li>Demonstrated ability to work independently and as part of a wider team
</li></ul>Preferred qualifications, capabilities, and skills<ul>
<li>Microsoft PowerPoint, Excel, Adobe skills</li></ul>
ABOUT US 
<div>
<div>JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world&rsquo;s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
</div><div>We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
<div>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase &amp; Co. is an Equal Opportunity Employer, including Disability/Veterans 
</div></div></div> 
 
ABOUT THE TEAM 
<div>
J.P. Morgan Asset &amp; Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.</div><div> 
 
</div><div>Human Resources plays a critical role in driving the employee experience, shaping the firm&rsquo;s culture and building a diverse and inclusive workforce. We are a strategic partner to the business &mdash; working with leaders across the firm to hire, develop and retain the best people and help meet business goals. Together, we foster a work environment in which our people are supported, feel like they belong and are able to make an impact through their work. We develop and deliver a suite of products and services that help make JPMorgan Chase an employer of choice and drive our business forward.</div></div>

Asset & Wealth Management Executive Recruiter

BBVA

<div><h1 class="jobSectionHeader">Excited to grow your career?
</h1>BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers.
<h1 class="jobSectionHeader">About the job:
</h1>ROLE OVERVIEW
The Internal Auditor Manager for the Entity BBVA GWA, Inc., a Registered Investment Adviser (RIA), provides independent and objective assurance and advisory services to strengthen the effectiveness of risk management, compliance, and governance frameworks with respect to the international wealth management business of the Entity across the United States.
This role focuses on the international wealth management business and assesses adherence to:
<ul><li>U.S. regulatory requirements (among others SEC, FinCEN and local regulators...)
</li><li>Applicable global regulatory frameworks, and
</li><li>Internal policies, standards, and governance requirements of the BBVA Group.
</li><li>Cross border compliance (US - LATAM)
</li></ul>The position plays a key role in promoting a strong culture of compliance, fiduciary responsibility, and ethical conduct, while acting as a trusted advisor to senior management.
PRIMARY DUTIES AND RESPONSABILITIES
Plan, lead and execute risk-based internal audits of the RIA&rsquo;s core advisory and wealth management processes, including portfolio management, trading activities, sales and distribution practices, client onboarding, fee billing, books and records, order handling, best execution, custody oversight, conflicts of interest disclosures, and client suitability and cross-border. Provide recommendations to strengthen governance, policies, procedures, and control frameworks. Able to identify relevant risks, recommending enhancements as needed and to properly document the audit process.
Evaluate compliance with applicable U.S. regulatory requirements, including SEC regulations under the Investment Advisers Act of 1940, and other relevant regulatory or supervisory frameworks, as well as applicable global regulatory requirements where relevant. (Form ADV disclosures, Code of Ethics (Rule 204A-1), Best execution and trade allocation requirements and AML, KYC, and data privacy regulations as applicable.
Prepare audit reports in line with Internal standards, ensuring they clearly communicate objectives, scope, methodology, findings, root causes, risk ratings, and recommended actions. Act as a trusted advisor by providing insight on control enhancements, process efficiencies, and regulatory developments.
Identify and communicate audit findings and recommendations clearly and constructively to senior management. Escalate significant control weaknesses or regulatory risks to senior management and governance committees. Track audit findings, management action plans, and remediation progress to completion.
Support regulatory examinations and inquiries by preparing documentation and responding to regulator requests.
Contribute to develop and implement risk-based audit plans, ensuring alignment with organizational goals and regulatory requirements.
Collaborate with other internal audit team members to promote effective risk management practices. Additional responsibilities will include support to audit activities across other BBVA U.S. entities as needed.
Key Competencies include among others, strong understanding of fiduciary duty and investor protection principles, ability to assess complex investment and operational processes, independent judgment with a collaborative, solutions-oriented mindset and high ethical standards and discretion in handling sensitive information.
QUALIFICATIONS
<ul><li>Education: Bachelor&rsquo;s degree required; preferred fields include Accounting, Finance, Business Administration or other related fields.
</li><li>Experience: Minimum of 8 years of experience in internal audit, external audit, compliance, or risk management within: broker-dealers, asset or wealth management firms, financial services institutions or Registered Investment Advisers, .
</li><li>Strong knowledge of SEC regulations applicable to RIAs /broker dealers and fiduciary standards.
</li><li>Proven experience auditing: Investment advisory and portfolio management activities / Wealth management or fiduciary services.
</li><li>Excellent analytical, communication, and report-writing skills.
</li><li>Preferred professional certification: FINRA Series 65 or 66, ACAMS, CIA, CPA,
</li><li>Experience working in a global or multi-jurisdictional wealth management environment.
</li><li>Experience supporting regulatory exams and remediation programs.
</li><li>Bilingual English / Spanish (preferred).
</li></ul><h1 class="jobSectionHeader">Legal requirements
</h1>It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Pay Transparency Policy Statement
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).
Individuals with Disabilities
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by emailing: disabilityaccessjobs.us@bbva.com or by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.
<ul><li>The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.
</li></ul>EEO Statement
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.
View the &quot; EEO is the Law &quot; &amp; &quot; View the EEO is the Law Supplement Poster &quot; poster. BBVA USA, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.</div>

Auditor Manager - International Wealth Management

<div><div><div><div><div><div><div>Asset &amp; Wealth Management

A career with Goldman Sachs Asset &amp; Wealth Management is an opportunity to help clients across the globe realize their potential, while you discover your own. As part of one of the world&rsquo;s leading asset managers with over $3 trillion in assets under supervision, you can expect to participate in exciting investment opportunities while collaborating with talented colleagues from all asset classes and regions and building meaningful relationships with your clients. Working in a culture that values integrity and transparency, you will be part of a diverse team that is passionate about our craft, our clients, and building sustainable success. Bringing together traditional and alternative investments, Goldman Sachs Asset &amp; Wealth Management provides clients around the world with a dedicated partnership and focus on long-term performance. As primary investment area within Goldman Sachs, we provide investment and advisory services for pension plans, sovereign wealth funds, insurance companies, endowments, foundations, financial advisors and individuals.

Your Impact 
We are seeking a highly quantitative analyst to join our Pricing Analysis &amp; Strategies (PAS) team with Goldman Sachs Asset Management (GSAM). In this role you will help enhance and improve GSAM&rsquo;s fixed fee (FF) and performance fee (PF) pricing effectiveness, provide a centralized resource for all aspects of GSAM&rsquo;s PF business, and manage the application for the Most Favored Nations clauses (MFNs) across GSAM.
<div>
Our Impact 
The PAS team sits within GSAM and partners with GSAM&rsquo;s portfolio management and institutional sales teams located in financial centers around the world. PAS has three primary objectives associated with structuring the pricing paid by GSAM&rsquo;s institutional clients to invest in GSAM&rsquo;s investment products. 
1. Enhance and improve GSAM&rsquo;s FF and PF pricing effectiveness. Influence and optimize both FF and PF pricing; Build and strengthen analytical pricing models and tools; Educate product and distribution teams on pricing analytics and impact of pricing effectiveness; Develop and leverage websites to achieve an efficient pricing process; and Track and report pricing effectiveness. 
2. Provide a centralized resource for all aspects of GSAM&rsquo;s PF business. Negotiate and close new PF business; Optimize PF methodologies, language, and vesting dates in Investment Management Agreements (IMAs) and Offering Memoranda (OMs); Create monthly PF projection metrics packages for senior management; and calculate actual PFs upon vesting for Client Billing. 
3. Manage the application of MFNs across GSAM. Establish criteria for accepting MFN proposals; Drive MFN negotiations with clients; Optimize and approve MFN language in client IMAs; and Track and report MFN investment mandate population. 
 
Responsibilities 
<ul><li>Contribute to new business development initiatives: Focus on all aspects of pricing opportunities with GSAM&rsquo;s institutional clients and prospects for investments in equities (stocks), fixed income (bonds), and alternatives (currencies, commodities, real estate, etc.).</li><li>Improve GSAM&rsquo;s institutional asset management pricing processes: Analyze revenue and profitability of GSAM&rsquo;s new and existing business; Identify trends in pricing of GSAM&rsquo;s new business versus existing business; Compare GSAM&rsquo;s pricing to competitor pricing; Collect and analyze data on published fee schedules, as well as actual fees paid by large institutional clients of GSAM and competitors.</li><li>Assist with business support activities: Project future performance fee earnings; Calculate actual performance fee vestings; Allocate multi-product revenues to product teams; and Validate compliance with MFNs.</li></ul></div>
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Basic Qualifications 
<ul><li>Masters/Bachelor&rsquo;s degree with an Economics, Engineering, Finance, Mathematics, or Statistics major</li><li>Strong quantitative and technical abilities</li><li>Strong interest in the financial markets and good investment sense/commercial instinct</li><li>Interest in Chartered Financial Analyst designation (CFA)</li><li>Drive, enthusiasm, creativity and excellent interpersonal skills</li><li>Strong analytical, problem solving and organizational skills, entrepreneurial, creative thinker, detail-oriented</li><li>Personal integrity, initiative and leadership qualities</li><li>Strong verbal and written communications skills</li><li>Strong multi-tasking and time management skills</li><li>Ability to work as part of a team in an environment that demands excellence, time and energy</li></ul></div> 

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Salary Range
 
The expected base salary for this New York, New York, United States-based position is $85000-$110000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits
 
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

</div></div></div></div></div></div></div><div><div><div><div><div>We Offer Best-In-Class Benefits</div></div></div><div><div><div><div><div><div><div>
Healthcare &amp; Medical Insurance</div></div>
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.</div></div></div></div><div><div><div><div><div><div>
Holiday &amp; Vacation Policies</div></div>
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.</div></div></div></div><div><div><div><div><div><div>
Financial Wellness &amp; Retirement</div></div>
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees&rsquo; priorities.</div></div></div></div><div><div><div><div><div><div>
Health Services</div></div>
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.</div></div></div></div><div><div><div><div><div><div>
Fitness</div></div>
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).</div></div></div></div><div><div><div><div><div><div>
Child Care &amp; Family Care</div></div>
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.</div></div></div></div><div><div><div><div><div><div>
Benefits at Goldman Sachs</div></div>
Read more about the full suite of class-leading benefits our firm has to offer.</div></div></div></div></div></div></div></div><div></div>
 Opportunity Overview
CORPORATE TITLE
Analyst
OFFICE LOCATION(S)
New York
JOB FUNCTION
Internal Product Specialists
DIVISION
Asset &amp; Wealth Management
SALARY RANGE
USD 85,000 - 110,000

Asset & Wealth Management, AWM Public Finance, Pricing Analysis & Strategies, Analyst - New York

Alan B. Lancz and Associates, Inc.

Alan B. Lancz and Associates, Inc., is currently offering full-time, flexible term Wealth Management Internships in the fields of Accounting, Economics, Computer Science, Statistics, or Marketing. We seek creative and open minds that strive to be world class in a variety of financial classes from equity/fixed income research to private equity and real estate. The positions will be located at our corporate offices in Toledo, OH with the potential for future full-time employment as a financial professional with the firm.The chosen candidates will be working in all aspects of wealth management, including data gathering and analysis using data analytics and coding (Python/SQL), all aspects of real estate, market research of potential acquisition opportunities, website development and financial planning including proformas, budgets, technical and fundamental analysis. Additional duties will include assistance in the preparation, publication and distribution of research, along with practical hands-on experience in private equity, real estate, investment analysis and retirement planning.The term of the Internship will depend on periodic reviews of performance. Compensation will be determined by qualifications and experience.Desired Skills:&middot; Digital marketing skills including data analytics and coding&middot; Capability and willingness to work long hours&middot; Energetic, flexible, and approachable work style with the ability to manage multiple projects simultaneously, along with the ability to work independently or collaborativelyQualifications Needed:&middot; Currently pursuing or recently completed an advanced degree in Finance, Economics, Computer Science, Statistics or Engineering&middot; Industry designation such as CFP, CFA, CPA or equivalent desirable&middot; Experience in investment banking, investment analysis and/or financial planning&middot; Uncompromising ethical standards and understanding of fiduciary responsibilityHow to Apply:Send us your resume along with the date when you could begin your Internship at our corporate offices located in Toledo, OH. Include a brief note explaining one way you believe AI or Data Analytics will fundamentally change Private Equity or Wealth Management in the next five years. Our address is: dave@ablonline.comJob Type: InternshipPay: $18.00 - $28.00 per hourBenefits:<ul><li>Flexible schedule</li></ul>Work Location: In person

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