- 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
- 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
- Bank of America (Wayzata, MN)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Merrill Market Supervision Manager Wayzata, Minnesota **Job Description:** Merrill Wealth...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Dallas, TX)
- …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. (Memphis, TN)
- …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
- 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
- MassMutual (Boston, MA)
- … investment advisory programs and platforms offered through our Investment Advisor /Broker-dealer, MMLIS including Wealth Management Services (WMS), our ... and opportunities to centralize and re-evaluate risk related and supervision activities + Evaluate controls around advisor ...with expertise on risk management and fluency in the investment advisory business and the requirements of… more
- City National Bank (Newark, DE)
- …worth client servicing and transaction processing. **What you will do** + Open Investment Advisory Program accounts and work directly with clients, Financial ... Mutual Funds, Fixed Income, Retirement Accounts, CDARS, 529 Plans, and CNS Advisory accounts including Single-Strategy and Multi-Strategy investment models. +… more
- Capital One (New York, NY)
- …or military experience + At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for ... will lead a BD Compliance team of associates (compliance advisory and registrations and licensing professionals). The BD CCO...Doctor + Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO +… more
- Morgan Stanley (New York, NY)
- Morgan Stanley Investment Management ("MSIM"), together with its investment advisory affiliates, operates in 23 countries with $1.5 Tn in assets under ... supervision as of December 31, 2023. Morgan Stanley Investment Management strives to provide outstanding long-term investment...these functions on behalf of MSIM as a registered investment advisor as well as on behalf… more