Investment Adviser Career Center

Are you looking for an exciting opportunity to join a dynamic and growing team in a fast-paced and challenging area? This is a unique opportunity for you to work  supporting ultra-high net worth client base, including interacting with Front Office and drafting of client communications and messaging .   As a Wealth Management Tax Compliance Officer – Vice President within the Client Tax Operations Private Bank team, you will be an important team member and help  ensure global conformity with Internal Service Revenue regulations, as well as bank obligations to state revenue authorities and under various intergovernmental agreements, while providing technical support to teams that support our ultra-high net worth client base.  You will take a leadership role in a team that provides an essential role, supporting the Private Bank at all levels, providing a variety of tax technical support to every aspect of the business, and supporting a variety of clients, all...

We're seeking someone to join our team as an Alternative Investments Compliance Officer in Wealth Management Compliance to provide regulatory and compliance advice and guidance to the Wealth Management business groups that are involved in either the design, sale, control, and approval or Alternative Investments, or are focused on client services. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Investment Product Compliance team, which is responsible for guiding business units from product inception through management to ensure regulatory alignment, mitigate risk through efficient controls, and maintain compliance by monitoring and updating policies in response to an evolving regulatory environment. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.  As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: This Senior Compliance Officer is a key member of the TDS US Compliance...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.  As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: This Senior Compliance Officer is a key member of the TDS US Compliance...