Wealth Management Specialist, Sr. jobs in Charlotte, NC
Wealth Management Specialist, Sr. develops individualized wealth management financial plans and recommendations to help clients attain financial goals by selecting investment solutions to minimize risk and grow wealth. Uses broad knowledge of investment products to educate clients on available investment options and create planning scenarios for retirement, education savings, and other financial objectives. Being a Wealth Management Specialist, Sr. keeps abreast of economic conditions and new financial products to inform and advise clients on potential enhancements to existing financial plans and create up-sell opportunities. Monitors client portfolios to ensure appropriate risk profile. Additionally, Wealth Management Specialist, Sr. follows all regulatory and organizational policies and procedures. May be involved with selling or coordinating the purchase of additional financial products or services to clients. Requires a bachelor's degree in finance, accounting, business or equivalent. Typically has the Certified Financial Planner (CFP) designation. Typically reports to a manager. The Wealth Management Specialist, Sr. work is highly independent. May assume a team lead role for the work group. A specialist on complex technical and business matters. To be a Wealth Management Specialist, Sr. typically requires 7+ years of related experience. (Copyright 2024 Salary.com)
Recently Added Wealth Management Specialist, Sr. jobs
Wealth Management Compliance Specialist III
- Comerica Bank
-
Charlotte, NC
FULL_TIME
-
Compliance Specialist III, Vice President
This position is responsible for providing guidance and direction and making recommendations with respect to compliance laws and regulations. This includes ongoing guidance as well as leading and managing major implementation processes including Compliance Management System (CMS) Monitoring, Third-Party Risk Management and Compliance Risk Assessment. This position will also assist in detecting, assessing, and responding to emerging risks.
Position Responsibilities:Regulatory Compliance- Lead and manage implementation of new or revised regulatory requirements in support of the Compliance Management System (CMS) requirements.
- Read and analyze regulations to determine requirements/mandates and impact on Comerica.
- Work collaboratively with the Line of Business, Risk Liaisons and Corporate Compliance to understand current Monitoring, Third Party Risk and Compliance Risk Assessment practices.
- Develop and execute remediation planning to ensure requirements are met by the implementation date.
- Answer questions and assist with the resolution of issues during the implementation phase.
- Actively participate in meetings and provide support and guidance related to CMS elements related to Monitoring, Third Party Risk Management and the Compliance Risk Assessment
- Makes recommendations and collaborates to execute any required changes in support of CMS requirements.
Analytics- Performs analysis in managing risks in existing operations resulting from industry lawsuits, settlements, etc. associated with regulatory violations.
- Work collaboratively with Commercial Bank and Private Banking lines of business to understand current practices.
- Collaborate with others for required change to business activities.
Reporting/Project Management- Partner with the Line of Business, Risk Liaisons and Corporate Compliance on key projects related to compliance and regulatory matters.
- Participate in meetings and address questions regarding regulatory requirements.
- Collaborate with Senior Compliance manager on senior management compliance reporting.
Testing/Exam- Oversight of periodic self-monitoring/testing to ensure policies and procedures are being followed.
- Consult with Lines of Business and Risk Liaisons on Monitoring plans and Compliance Risk.
- Assessment including developing additional/enhanced controls.
Training- Partner with Lines of Business, Risk Liaisons and Corporate Compliance to identify specific training needs.
- Review, revise and assist in new role-based training development.
- In partnership with the Line of Business and Corporate Compliance, make recommendations and review of customer facing documents.
Position Qualifications:- Bachelor's degree from an accredited university or 4 years of relevant work experience
- 8 years related experience in Compliance or Risk Management
Licenses & Certifications- Certified Regulatory Compliance Manager (CRCM) certification or other applicable/relevant certification preferred but not required.
8am-5pm
Comerica is proud to be an Equal Opportunity Employer - veterans/individuals with disabilities, committed to workplace diversity. - 23 Days Ago
Sr Change Management Specialist
- honeywell
-
Charlotte, NC
FULL_TIME
- The future is what you make it! When you join Honeywell, you become a member of our global team of thinkers, innovators, dreamers, and doers who make the things that make the future. That means changi...
- Just Posted
Sr. Product Management Specialist
- honeywell2-pilot
-
Charlotte, NC
FULL_TIME
- The future is what you make it.When you join Honeywell, you become a member of our global team of thinkers, innovators, dreamers and doers who make the things that make the future.That means changing ...
- 12 Days Ago
Sr. Control Management Specialist
- Wells Fargo
-
CHARLOTTE, NC
FULL_TIME
- About this role:As the front-line control arm of Commercial Banking, Commercial Banking Control Management develops and supports a strong control environment that leads to early identification and sus...
- 1 Month Ago
CRM Product Manager
- Modera Wealth Management
-
Charlotte, NC
FULL_TIME
- Wealth Management Firm Seeks CRM Product Manager Modera Wealth Management is an independent, fee-only firm that strives to make a lasting positive impact on the lives of our clients through comprehens...
- 1 Month Ago
Talent and Change Management Specialist, Sr.
- Bosch Group
-
Charlotte, NC
FULL_TIME
- Company DescriptionOur drive and control technologies ensure efficient, powerful and safe movement in machines and systems of any size. We inspire our customers with intelligent components, tailored s...
- 1 Month Ago
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0 Wealth Management Specialist, Sr. jobs found in Charlotte, NC area
Client Support Analyst
- PMMC
-
Charlotte, NC
- Job Title: Client Support Analyst Reports To: Director – Revenue Cycle Operations Department: Account Management About T...
- 4/25/2024 12:00:00 AM
Account Manager
- DG Partnership
-
Charlotte, NC
- Job Description Job Description Account Manager – $53,000.00 - $150,000.00 per year – Charlotte NC The Role Make The Dif...
- 4/25/2024 12:00:00 AM
General Dentist
- Heartland Dental
-
Charlotte, NC
- General Dentist with a 250k total comp package! Rivergate Dental Care, is looking for a General Dentist to join our team...
- 4/24/2024 12:00:00 AM
Financial Advisor
- Northwestern Mutual
-
Charlotte, NC
- GET MORE OUT OF YOUR CAREER Choose a career where changing and impacting someone else’s life for the better is also life...
- 4/23/2024 12:00:00 AM
Performance Reporting Analyst
- Baird
-
Charlotte, NC
- Baird's Private Wealth Management Institutional Consulting Services (ICS) team engages with very large institutionalclie...
- 4/23/2024 12:00:00 AM
Regional Sales Director Uncapped Commission!
- TASC (Total Administrative Services Corporation)
-
Charlotte, NC
- Our Regional Sales Directors are individual contributors who successfully establish, maintain, and enhance credibility, ...
- 4/23/2024 12:00:00 AM
Financial Advisor
- Cetera Investors
-
Charlotte, NC
- Position Title: Cetera Investors Financial ProfessionalWhat we need:A Financial Professional that has an existing book o...
- 4/22/2024 12:00:00 AM
Financial Advisor
- Northwestern Mutual
-
Huntersville, NC
- FINANCIAL ADVISOR - HUNTERSVILLE/ LAKE NORMAN I am looking to hire highly motivated and driven individuals to join my te...
- 4/21/2024 12:00:00 AM
About Charlotte, North Carolina
Charlotte (/ˈʃɑːrlət/) is the most populous city in the U.S. state of North Carolina. Located in the Piedmont, it is the county seat of Mecklenburg County. In 2017, the U.S. Census Bureau estimated the population was 859,035, making it the 17th-most populous city in the United States. The Charlotte metropolitan area's population ranks 22nd in the U.S., and had a 2016 population of 2,474,314. The Charlotte metropolitan area is part of a sixteen-county market region or combined statistical area with a 2016 census-estimated population of 2,632,249.
Between 2004 and 2014, Charlotte was ranked as...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Wealth Management Specialist, Sr. jobs
$107,458 to $153,974
Charlotte, North Carolina area prices
were up 1.5% from a year ago
were up 1.5% from a year ago