- Commerce Bank (Kansas City, MO)
- …estimate of the compensation range for some roles. This compensation range is for the Investment Compliance Advisor I, II, III, and Senior - Trust job ... the best version of yourself. Because our number one investment is you. Creating an award-winning culture doesn't come...The main purpose of this job is to provide compliance advice with respect to implementation of, and … more
- Guardian Life (Annapolis, MD)
- …insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an ... Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing… more
- JPMorgan Chase (New York, NY)
- …are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor , member of FINRA and SIPC. Annuities are made available ... maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting edge digital… more
- M&T Bank (Rochester, NY)
- **Overview:** Provides comprehensive investment management services to Wealth Advisory Services clients. Operates within a professional team environment supporting ... offering consistent with the individual financial goals of clients. Recommends investment solutions via a needs-based, consultative approach, and proactively manages… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …training programs and ability to liaison between functional areas. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is ... up to date with advisory regulations. * Assists in researching Supervision, Compliance and other issues. * Assists in developing training programs, including… more
- Vanguard (Malvern, PA)
- …and internal policies, focusing on information barriers, conflicts of interest, and investment management compliance advisory support. You will serve as a ... trusted advisor to the investment management business and...with at least two years within a financial services compliance function. Regulatory, compliance , investment ,… more
- Vanguard (Malvern, PA)
- …cross-functionally to foster a culture of integrity and accountability. The Senior Compliance Advisor will: + Maintain and cultivate a collaborative culture ... and excellence. In this role, you will: + Serve as a trusted advisor to business leaders, offering strategic guidance and oversight on regulated activities with… more
- Capital One (Mclean, VA)
- Manager, Software Compliance Advisor Ever since our first credit card customer in 1994, Capital One has recognized that technology and data can enable even large ... new and merging technology + Experience with the corporate investment due diligence processes At this time, Capital One...be regularly worked. McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager Richmond, VA: $132,800 -… more
- Citizens (Conshohocken, PA)
- …the single point of contact for investment needs. The Virtual Financial Advisor will be required to maintain compliance with all Citizens Financial Group ... debts and other liabilities, cash flow and tax status. The Virtual Financial Advisor compares and evaluates possible investment options and identifies … more
- Wellington (Boston, MA)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...those of our clients. **About the Role** **Position** The Advisor Education Marketing Strategist will bring a unique set… more
- Neuberger Berman (New York, NY)
- The Institutional Client Service Advisor ("CSA") role is an important relationship management and servicing role within Neuberger Berman's North America (NA) ... institutional business. Each Institutional Client Service Advisor is paired with a Client Advisor (s) (Institutional salesperson) and/or Senior Client Service… more
- Atria Wealth Solutions (Marion, IN)
- …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 ... Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA....www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record… more
- Truist (Miami, FL)
- …review the following job description:** The International Wealth Management (IWM) Advisor 2 serves with the Non-Resident/Foreign Nationals client segment including ... firms, managing a portfolio of approximately 50-100 clients. The IWM Wealth Advisor 2 develops and maintains a portfolio of important revenue generating client… more
- Commerce Bank (Kansas City, MO)
- …of the compensation range for some roles. This compensation range is for the Banking Compliance Advisor III and Senior job and contemplates a wide range of ... 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 160… more
- Raymond James Financial, Inc. (Coral Gables, FL)
- …individual practice. The Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and ... learning, apprenticeship and training at the firm's international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for the next… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …planning to close, including communication of findings and interaction with the Investment Advisory Chief Compliance Officer and senior management. Maintains ... and resolve complex issues. **Essential Duties and Responsibilities** * Conducts risk-based compliance testing on at least two investment advisers. * Leads… more
- Raymond James Financial, Inc. (Greenwood, IN)
- …individual practice. The Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and ... learning, apprenticeship and training at the firm's international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for the next… more
- Bank of America (Atlanta, GA)
- Merrill Experienced Financial Advisor Honolulu, Hawaii;North Bethesda, Maryland; Los Angeles, California; New York, New York; Frisco, Texas; New York, New York; ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- Atria Wealth Solutions (King, NC)
- …Services, LP ("CFS"), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor . Products offered through CFS: are not NCUA/NCUSIF or ... (CFS) Allegacy Federal Credit Union is seeking a Financial Advisor to join their team in the King NC...in their commitment to serving our members. The Allegacy Investment Group is seeking a financial professional guided by… more
- Umpqua Bank (Greenwood Village, CO)
- …+ 5+ years of experience as an investment executive, financial advisor , certified financial planner, investment advisor Representative, or wealth ... Senior Wealth Advisor Wealth Management Scottsdale, Arizona Sacramento, California Greenwood...level of individualized service based on comprehensive planning and investment strategies consistent with their individual financial goals and… more
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