Risk Management Guru

SEPTEMBER 20, 2021

Whether you’ve just started in Risk Management or you’re already a professional in this arena, this article will interest you. We are highlighting some of the reference professionals we follow who are seasoned Risk Managers, each in its own area of expertise. Linked In. Website / Blog. Linked In. Steve Burns.

Risk Management 59

Risk Management Government Management Compliance 59

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. Registered Investment Advisers (RIAs) have to follow several SEC rules. This is very important when you discuss investment results or share testimonials. This practice supports good risk management.

Marketing 52

Marketing Marketing Media Engineering 52

Good Financial Cents

DECEMBER 14, 2022

After all, people will always need financial services, whether investing their money , taking out loans, or managing their taxes. The CFO role is multi-faceted and includes everything from financial planning and analysis to business budgeting, financial decision-making, and risk management. Chief Compliance Officer.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Carson Wealth

JULY 12, 2022

By Craig Lemoine, Director of Consumer Investment Research . So much of our world is filled with abbreviations surrounding insurance and investment products, processes, education and accomplishments. . The first step in the competency stairway is regulatory compliance. . We speak a secret language in financial planning.

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98

International College of Financial Planning

MARCH 31, 2023

Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Trade Brains

SEPTEMBER 26, 2024

NSE also oversees compliance by its members and listed companies with relevant rules and regulations. It serves the investment community’s diverse needs and provides complementary revenue sources. Indian households traditionally invested most savings in physical assets. Key points 1. This is due to: 1.

Compliance 90

Compliance Banking Management Risk Management 90

Indigo Marketing Agency

APRIL 28, 2023

The investment philosophy you offer? Do you offer risk management that helps them sleep at night? Once you’re happy with the result, send it to compliance, feature it on your website, and don’t forget to share it on your social media profiles! Is it your experience in their particular demographic?

Financial Advisor 98

Financial Advisor Clients Compliance Wealth Management 98

The Big Picture

DECEMBER 6, 2022

BARRY RITHOLTZ, HOST, MASTERS IN BUSINESS: This week on the podcast I have an extra special guest, Luis Berruga has a fascinating career as both a tech wizard and investment banker before becoming CEO of Global X ETFs. And before that, Morgan Stanley, doing technology and operations planning for the wealth and asset management group.

Clients 163

Clients Investing Investments Management 163

SEI

SEPTEMBER 6, 2022

How digital assets are democratizing the world of investing. Those in and outside the financial services industry are seeking to reconcile this emerging technology and its impact on the ecosystem of investing. Tue, 09/06/2022 - 16:15. Ventures (US). Pulse on the Future. Accessibility and open finance.

Assets 52

Assets Investing Investments Government 52

International College of Financial Planning

JANUARY 31, 2024

Unlocking New Career Pathways: Investment in financial training is synonymous with investing in one’s career growth. Risk Management and Compliance: Vital for risk management and audit professionals, this area focuses on identifying and mitigating risks while ensuring regulatory compliance.

Certification 52

Certification Financial Planning Education Wealth Management 52

Diamond Consultants

NOVEMBER 29, 2022

In today’s heightened regulatory environment, risk reduction is often a firm’s top priority—making advisors more vulnerable than ever before. Knowledge is power—particularly in a world where compliance scrutiny has ramped up, and firms prioritize risk reduction over revenue creation. Let’s start with internal investigations.

Compliance 52

Compliance Recruitment Media Planning 52

Carson Wealth

SEPTEMBER 23, 2024

In other words, the large cut was about risk management, with the Fed looking to get ahead of deteriorating labor market data. All indices are unmanaged and may not be invested into directly. Layoffs are also relatively low. The good news is that the Fed has room to support the labor market because inflation has eased a lot.

Marketing 96

Marketing Marketing Economy Economics 96

International College of Financial Planning

MAY 30, 2023

Financial institutions can leverage big data and analytics to enhance customer segmentation, improve risk management, and optimize pricing strategies. Financial institutions must invest in robust security measures to protect sensitive data and maintain customer trust.

Risk Management 40

Risk Management Compliance Distribution Education 40

SEI

SEPTEMBER 21, 2022

Part 2: Cybersecurity maturity measures your level of risk and corresponding controls. Domain 1: Cyber risk management and oversight. Domain 4: External dependency management. Domain 5: Cyber incident management and resilience. Domain 5: Cyber incident management and resilience. Inheriting SEI’s maturity.

Financial Services 52

Financial Services Compliance Clients Banking 52

Trade Brains

SEPTEMBER 13, 2024

They are currently investing billions, which affects the mood of the market and stock prices. Stocks frequently respond favorably to FII investments, driving up prices. Additionally, the market is becoming more stable and liquid as a result of their investments. CAMS is handling over 69% of mutual fund transactions in India.

Wealth Management 59

Wealth Management Banking Management Portfolio 59

Harness Wealth

OCTOBER 23, 2023

Specialized areas can include estate planning and tax-efficient investment strategies. Generally speaking, CAS accounting focuses more on compliance work and one-off needs, whereas advisory accounting goes into larger, more nuanced strategic decision-making.

Accounting 52

Accounting Taxes Strategic Planning Estate Planning 52

The Big Picture

AUGUST 15, 2023

Let’s talk a little bit about your alternative investments career. And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven.

Management 130

Management Investing Investments Government 130

Fortune Financial

SEPTEMBER 25, 2023

How to Choose the Right Wealth Management Firm in Kansas City Managing your wealth is a crucial aspect of financial success and security. Let’s look at key factors to consider when selecting the ideal wealth management firm in the Kansas City metro area. But with many options available, how do you choose the right one?

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

The Big Picture

NOVEMBER 14, 2023

There are a few people in the world who are more knowledgeable about the management of asset managers and what it’s like to actually run a global organization and interact with lots of aspects of the business of finance, whether that’s acquisitions or compliance, or dealing with all the legalities of multi-jurisdictional regulations.

Math 130

Math Management Insurance Assets 130

International College of Financial Planning

MAY 30, 2023

Some popular finance careers include financial planning, investment banking, corporate finance, and risk management. Ethical conduct by finance professionals fosters trust and confidence, promotes investments, and supports economic development. Impact of Ethics on Finance and the Economy.

Ethics 40

Ethics Compliance Education Clients 40

Harness Wealth

OCTOBER 11, 2023

In this guide from Harness Tax , we’ll explore why cybersecurity is increasingly important in the accounting industry, delve into the types of cybersecurity risks, and offer a set of best practices for risk management. Conduct a risk assessment, review access controls, and ensure compliance with industry standards.

Accounting 59

Accounting Taxes Clients Communication 59

Fortune Financial

SEPTEMBER 25, 2023

How to Choose the Right Wealth Management Firm in Kansas City Managing your wealth is a crucial aspect of financial success and security. Let’s look at key factors to consider when selecting the ideal wealth management firm in the Kansas City metro area. But with many options available, how do you choose the right one?

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Brown Advisory

JUNE 2, 2021

Moreover, integrating ESG factors into the fundamental research process is important to mitigate and appropriately price risk. If properly vetted, labeled bonds can be an attractive investment and a powerful tool to finance the fight against climate change and create a more equitable world. DO DUE DILIGENCE!

Certification 52

Certification Investing Investments Transportation 52

Brown Advisory

JUNE 2, 2021

Moreover, integrating ESG factors into the fundamental research process is important to mitigate and appropriately price risk. If properly vetted, labeled bonds can be an attractive investment and a powerful tool to finance the fight against climate change and create a more equitable world. DO DUE DILIGENCE!

Certification 52

Certification Investing Investments Transportation 52

Brown Advisory

DECEMBER 5, 2023

It also compels a good deal of humility, an acknowledgement of luck, and a desire to always learn more and to turn over more rocks, and to look at more information in order to arrive at investment insights. Here is an attempt to invoke fundamental investing basics to clarify exactly what we aspire to deliver for our clients.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investments 52

Sara Grillo

DECEMBER 12, 2022

pay me for investments, for the easy work that I can outsource to a third party manager, and I’ll give you all this hard stuff for free…I don’t believe that., I also partner with E4 Insurance Services, a full-service brokerage agency to help noninsurance-oriented professionals (CFP’s, CFA’s, investment advisors, etc.)

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Carson Wealth

JANUARY 28, 2025

A recent survey of donors and nonprofits found that one in five projects are negatively affected by risk. [1] 1] So, its essential to integrate strong risk management practices into your philanthropic activities. Key Financial Risks to Watch For Four kinds of risk can affect philanthropic outcomes: Financial risk.

Risk Management 52

Risk Management Management Nonprofit Compliance 52

Trade Brains

MARCH 11, 2024

Operating Profit Margin (%) 49.67% Net Profit Margin (%) 44.36% Large Cap Stocks With High NPM #2 – Oracle Financial Services Oracle Financial Services Software Limited is a subsidiary of Oracle, a world leader in providing financial technology solutions across retail banking, corporate banking, risk, financial crime, and compliance management.

Banking 59

Banking Financial Services Consulting Retail 59

WiserAdvisor

MAY 31, 2023

This reduces administrative burden and simplifies the ongoing management of the plan. The employee can choose their investments With a SIMPLEIRA, employees can control their individual accounts and choose their investment options. This allows investors to align their retirement savings strategy with their investment preferences.

Planning 40

Planning Retirement Planning Retirement Financial Advisor 40

The Big Picture

MAY 9, 2023

He is the Chief Investment Officer of Asset and Wealth Management at Goldman Sachs. He’s a member of the management committee. He co-chairs a number of the asset management investment committees. I thought this was an absolutely fascinating way to see the world of investment management.

Assets 300

Assets Clients Investing Investments 300

The Big Picture

MARCH 27, 2023

I wanted to see the world, and whether it was investment banking, or basket weaving really had absolutely no bearing on my decision. RITHOLTZ: You describe what we now call junk bonds, we used to call high yield, what we now call distressed investing, we used to call vulture investing. But it was very tiny. RITHOLTZ: Right.

Assets 286

Assets Investing Investments Management 286

The Big Picture

JUNE 27, 2023

The transcript from this week’s, MiB: Peter Borish, Tudor Investments & Robin Hood , is below. Peter Borish, founding partner number two at Tudor Investments where he worked directly with Paul Tudor Jones, most famously helping him put on a very aggressive short position heading into the ’87 crash. I’m single.

Math 148

Math Risk Management Marketing Marketing 148

The Big Picture

MAY 23, 2023

This is a fascinating conversation about business growth and leadership and management and how to run a team. GREW: So, I got a call and this one was ultimately from a recruiter who’s working for Lehman Brothers, an investment bank, a bond house. RITHOLTZ: Uh-oh. GREW: I know, this seems to be a process. RITHOLTZ: Right.

Clients 163

Clients Management Engineering Investing 163

WiserAdvisor

MARCH 13, 2024

Below are 5 Pillars of retirement planning that should be a part of your retirement plan: Pillar 1: Investment planning Investment planning is one of the most vital pillars of retirement planning, as it offers a roadmap to align your financial resources with your risk appetite and long-term goals.

Retirement Planning 105

Retirement Planning Retirement Planning Estate Planning 105

Good Financial Cents

AUGUST 12, 2023

By investing in a diverse array of income-generating opportunities tailored to your risk tolerance and financial goals, you can create a resilient and sustainable revenue stream. Each source has its unique characteristics, risks, rewards, and requirements. You can read more about here about how passive income is taxed.

Risk Tolerance 58

Risk Tolerance Taxes Compliance Retirement 58

The Big Picture

JANUARY 14, 2025

And they kept me on throughout my senior year to finish up an interesting project, which is basically automating the job of the investment analyst, this, that, that we’re doing all the company work, getting all the, you know, 10 Ks, 10 Qs, all the information. It was accounting, investment banking and consulting.

Management 148

Management Investing Investments Assets 148

The Big Picture

NOVEMBER 4, 2024

Just an incredible track record of investing primarily in the healthcare, but also the financial technology space. You do so many interesting things, but let’s start with Oak Investment Partners. So Oak Investment Partners, very sophisticated VC platform, going back to like the late seventies, I think is when they launched.

Healthcare 130

Healthcare Medical Investing Investments 130