- Commerce Bank (Kansas City, MO)
- …on relevant experience, skills, and competencies.) About This Job As a Trust Investment Compliance Advisor , you'll provide compliance advice to key players in ... Assist leadership with projects/duties related to the compliance management system + Attend Commerce Trust committee meetings, as requested...for some roles. This compensation range is for the Investment Compliance Advisor - Trust I, II,… more
- Citigroup (New York, NY)
- … is responsible for all matters related to the learning and culture needs of Investment Banking. The Learning Advisor will be required to develop an in-depth ... understanding of the needs of Investment Banking, and address those needs via leveraging existing...the global Citi learning agenda and priorities. The Learning Advisor will be required to develop a thorough understanding… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and guidelines as well as firm policies governing advisory accounts. An Advisor , general investment advisory is expected to conduct reviews which can ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… 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 ... about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the … more
- PNC (Louisville, KY)
- …a plus **Job Description** + Leads project initiatives related to the integrated advisor workstation and the investment advisor function. Defines future ... investment due diligence processes for our FIS Investment platform, updating internal and external vendor systems...strategy and the advisors in the field. Supports the advisor on client requests for new business or specific… more
- City of New York (New York, NY)
- …Comptroller's Bureau of Asset Management (BAM) supports the Comptroller in his role as investment advisor , custodian, and trustee for each of the five New York ... servants including teachers, firefighters, police officers, and more. As investment advisor for some of the largest...proud of our large, diverse, and skilled workforce. The systems ' portfolios are managed primarily by external investment… more
- Guardian Life (Columbus, OH)
- …will** + Responsible for making independent suitability decisions when approving of all Investment Advisor accounts at account opening (including the review of ... positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate...Advice Capture within PAS approved systems ). + Consistently enforces Investment Advisory platform… more
- Morgan Stanley (New York, NY)
- …of industry, global markets and regulations relevant to coverage area (eg, SEC investment advisor regulations, '40 Act requirements) . Ability to articulate risk ... We're seeking an experienced audit professional to join our Investment Management audit team as a Director to execute various assurance activities in order to assess… more
- US Bank (Edison, NJ)
- …net asset value(s) and disseminate financial and performance information to the investment advisor and their investors. Acting as primary fund accountant ... activity and applies valuation of securities in the portfolio accounting system . Enters and reconciles all investor contributions and withdrawals in the… more
- PNC (Cincinnati, OH)
- …investment and trading support activities under the direction and oversight of an Investment Advisor . + Assists with all investment related compliance set ... + Presents, under the direction and oversight of an Investment Advisor , actionable advice, market insight, and...and procedures. + Utilizes the full breadth of the Investment systems in order to support the… more
- ElectriCities of North Carolina (Raleigh, NC)
- …of all short-term funds (less than 1 year) for NCMPA#1 and for overseeing investment advisor who manages the long-term investments. + Maintain knowledge of ... reports/presentations for ElectriCities, NCMPA#1 and NCEMPA in collaboration with our investment advisor . Duties related to Debt Activities: + Prepare,… more
- PNC (Philadelphia, PA)
- …their investment process. Authors final reports that are presented to Investment Advisor Research. Updates manager profiles and is responsible for quarterly ... portfolios that sit at the core of the AMG Investment Office's guidance for our clients. You will conduct...class investing either as a research analyst or client-facing advisor along with strong quantitative capabilities, including systems… more
- MassMutual (Boston, MA)
- …across investment advisory programs and platforms offered through our Investment Advisor /Broker-dealer, MMLIS including Wealth Management Services (WMS), our ... we are growing and expanding capabilities for our Financial Advisor salesforce of ~7,000 advisors. The Head of Business...Risk Management to implement process enhancements across the agency system + Advising the Head of Wealth Management on… more
- Atria Wealth Solutions (Philadelphia, PA)
- …with CUSO Financial Services, L. P. (CFS) Ardent Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in ... over 34,000 members, and is looking for a Financial Advisor to join an established investment program....working with a broker-dealer technology, ie, electronic order entry systems , DocuSign, etc. to process business, as well as… more
- Principal Financial Group (Des Moines, IA)
- …and mitigates risk as needed. + Responsible for broker dealer and investment advisor supervision, surveillance and monitoring activities. + Engagement and ... used for supervision and surveillance for broker dealer and investment advisor . + Ensure that the supervision...or change initiatives. + Crafting and implementing new technology systems or digital tools. + Experience with LEAN, Six-sigma,… more
- Atria Wealth Solutions (Battle Creek, MI)
- …part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services for its members in and around the ... small handful of educators from the Battle Creek School System , the Battle Creek Teachers Association Credit Union was...every day. They are looking to add a financial advisor to the team to join the credit union's… more
- Atria Wealth Solutions (Plano, TX)
- …LP (CFS) , in its partnership with InTouch Credit Union, is seeking a Financial Advisor to provide investment and retirement planning services for its members in ... was originally granted in 1974 to serve Electronic Data Systems (EDS) employees in the Dallas area, ITCU now...member until the account is closed. As a Financial Advisor your responsibilities include, but are not limited to,… more
- US Bank (Orem, UT)
- …you to grow your practice and build a rewarding career. The Wealth Management Advisor position is the investment , investment planning, and insurance products ... positioned for growth and are making significant investments to expand our advisor base and deliver an outstanding client experience. With a collaborative team… more
- Alight (Charlotte, NC)
- …Financial Planning and financial education counseling. . Daily management of Investment Advisor Representatives. . Developing supervisory protocols and ensuring ... improving client service delivery and processes. **.** Servicing participants as an Investment advisor by taking inbound and making outbound calls as… more
- Sedgwick (Sacramento, CA)
- …+ Oversees reconciliations of monthly bank and investments. + Effectively oversees investment advisor and treasury management. + Prepares and/or reviews ensures ... Manager Finance acts as the generally accepted accounting principles (GAAP) technical advisor to pool management. Ensures assigned financial duties are recorded and… more