- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives ... in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively...as firm policies governing advisory accounts. An Advisor , general investment advisory is… more
- Guardian Life (Columbus, OH)
- …Risk ("SaBR") team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will ... high volume, fast paced environment. In this role, the supervision advisor will be expected to use...Advice Capture within PAS approved systems). + Consistently enforces Investment Advisory platform compliance policies and guidelines… more
- Bank of America (Pennington, NJ)
- …Merrill coupled with the banking convenience of Bank of America. The Merrill Advisory Development Program (ADP) Oversight Supervision Principal IV role manages ... abilities. **Responsibilities include, but are not limited to:** + Responsible for Supervision processes to support the Advisory Development Program + Performs… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... management. The Supervision department partners closely with the business to proactively...activities. * Monitors and keeps up to date with securities/ advisory regulations and applies them accordingly. * Interprets, applies… more
- Guardian Life (Pittsfield, MA)
- …the securities industry? Do you also enjoy working from home? If so, the Supervision and Business Risk ("SaBR") team is seeking a positive professional who will be ... responsible for performing suitability reviews for life, annuities, brokerage and advisory products and oversight through testing of the tasks completed by the… more
- Atria Wealth Solutions (Fredericksburg, VA)
- …current/new clients + Focus consulting for products and services supported by Registered Investment Advisory Firm in support of current market/ industry shift to ... of hire) + Appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP, ChFC, or CLU… more
- Atria Wealth Solutions (Brandywine, MD)
- …current/new clients + Focus consulting for products and services supported by Registered Investment Advisory Firm in support of current market/ industry shift to ... of hire) + Appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP, ChFC, or CLU… more
- Navy Federal Credit Union (Fredericksburg, VA)
- …current/new clients + Focus consulting for products and services supported by Registered Investment Advisory Firm in support of current market/ industry shift to ... of hire) + Appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP, ChFC, or CLU… more
- Atria Wealth Solutions (Greenville, SC)
- …CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the ... that they do. Purpose of the Job The Financial Advisor II serves the financial advisory needs...www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record… more
- Fort Pitt Capital Group, LLC (Pittsburgh, PA)
- …invest in yourself? Fort Pitt Capital Group - an award-winning independent Registered Investment Advisor (RIA) with a supportive and collaborative culture - has ... financial plans and implement approved financial plans under the supervision of the Lead Advisor + Learn...year of employment Fort Pitt is a trusted fiduciary investment advisory firm with offices in the… more
- Atria Wealth Solutions (Greensboro, NC)
- …an established schedule determined by your manager. Purpose of the Job The Financial Advisor II serves the financial advisory needs of credit union members ... (CFS) Truliant Federal Credit Union is seeking a Financial Advisor II (Remote Work Flexibility - NC) to join...ffectively implement / leverage technology and all other available investment tools and resources to provide member-clients with an… more
- Thrivent Financial (Rochester, MN)
- …Comply with all regulatory requirements and ethical standards governing the financial advisory profession + Work independently with minimal supervision servicing ... benefit society, we're here solely to help others. Thrivent Investment Management Inc. is a FINRA and SIPC member...performing team is currently looking for a Client Service Advisor . This position provides support to Emerald Financial Groups… more
- Raymond James Financial, Inc. (Memphis, TN)
- **Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized training or certification ... clients of the company by combining the traditional roles of the Financial Advisor , Service Associate and Branch Manager. Fosters and assists in the development of… more
- Commerce Bank (Kansas City, MO)
- …resources to grow into the best version of yourself. Because our number one investment is you. Creating an award-winning culture doesn't come easy. And after more ... management services including financial planning, estate and tax planning, investment management, private banking and trust administration services. Our approach… more
- Bank of America (Mandeville, LA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Market Supervision Manager New Orleans, Louisiana;Baton Rouge, Louisiana; Mandeville,...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Pennington, NJ)
- …includes new accounts, trade and client reviews, Investment Advisory Program, electronic communications, specialized supervision , marketing, social media, ... Annuities/Life Insurance Supervision Principal-IV Charlotte, North Carolina;Dallas, Texas; Pennington, New Jersey; Jacksonville, Florida **Job Description:**… more
- Bank of America (Salt Lake City, UT)
- Merrill Market Supervision Manager Spokane, Washington;Salt Lake City, Utah; Boise, Idaho **Job Description:** At Bank of America, we are guided by a common purpose ... objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.… more
- Raymond James Financial, Inc. (Denver, CO)
- …associates during functional reviews and provide advanced support to our Financial Advisor and Corporate Advisory departments, focusing specifically on the ... **Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through...Serve as a trusted business partner to our Financial Advisor and/or Home Office teams by providing expertise with… more
- BlackRock (Princeton, NJ)
- …world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, ... BlackRock Model Portfolios + Implement customized portfolio solutions in conjunction with the advisor 's investment goals + Deliver fiduciary and investment … more
- Federal Reserve System (Dallas, TX)
- …be responsible for assessing markets and securities compliance for the brokerage and investment advisory operations. In this role you will lead and participate ... in regulatory examination procedures used to evaluate retail brokerage and registered investment advisory activities. The successful candidate will also have… more