- Vanguard (Malvern, PA)
- …enhancing, and overseeing compliance processes and programs that support Vanguard's investment products and trading activities. + Act as the point of contact and ... and trade surveillance. + Support the wider Global Fund, Advisor , and Distribution team as needed. + Participates in...with at least two years within a financial services compliance function. Regulatory, compliance , investment ,… more
- Vanguard (Malvern, PA)
- …that's not just about rules-but about shaping the future of ethical investing. As a Senior Compliance Advisor , you'll be at the forefront of regulatory ... Design & Enhance Compliance Programs : Develop and refine compliance processes for investment products, trading activities, and client interactions.… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR * *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance ... * For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to… more
- PNC (Erie, PA)
- …valued and have an opportunity to contribute to the company's success. As an Investment Advisor I within PNC's Private Bank organization, you will be based ... PA offices (Warren, Sharon, or Meadville, PA) As an Investment Advisor I ( Investment Associate),...Investment Associate), you will provide support for the senior Advisors within the team. This includes monitoring accounts… more
- Charles Schwab (Westlake, TX)
- …organization offers industry-leading wealth management services to both retail and registered investment advisor (RIA) clients. The team is responsible for ... through solutions like Schwab Wealth Advisory (SWA) and Schwab Advisor Network (SAN), along with a broad range of... Network (SAN), along with a broad range of investment products and solutions. Schwab continues to evolve its… more
- The Cigna Group (Bloomfield, CT)
- …delivery within budget, ultimately ensuring Cigna Group compliance and/or Client/Partner compliance . The Senior Advisor will provide mentorship and ... **Summary** Enterprise Compliance Programs and Operations is seeking a highly...portfolio funded, or business funded. The **Enterprise** **Program Management** ** Senior Advisor ** is accountable for enterprise program… more
- Vanguard (Malvern, PA)
- …as well as compliance monitoring functions related to business activities and investment products. Serves as a trusted advisor to the business, provides ... oversight of regulated activities. Core Responsibilities + Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders… more
- Columbia Bank (Santa Rosa, CA)
- …+ 5+ years of experience as an investment executive, financial advisor , certified financial planner, investment advisor Representative, or wealth ... Senior Wealth Advisor Wealth Management Irvine,...level of individualized service based on comprehensive planning and investment strategies consistent with their individual financial goals and… more
- Citigroup (New York, NY)
- …As a critical contributor to the CIO team, the Senior Portfolio Advisor will have responsibilities related to both investment solutions and client engagement ... advisor needs, and product development opportunities + **Participate in the Global Investment Committee** , a management team of senior thought leaders who… more
- City National Bank (West Hollywood, CA)
- *FINANCIAL ADVISOR SENIOR * WHAT IS THE OPPORTUNITY? The Senior Financial Advisor (SFA) serves as Wealth Management's primary point of contact for ... sell to existing clients. * Profile with specific emphasis on discovering investment related needs and solutions in collaboration with PBB colleagues. * Establish… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams ... communication of Code of Conduct updates across the organization. + Routinely interacts with senior leaders within Compliance , Risk, AML and across the firm. +… more
- KeyBank (Amherst, NY)
- …position may be filled at different salary grade levels depending on requirements._** ** Senior Business Risk and Controls Risk Advisor ** ABOUT THE JOB (JOB ... operating within defined risk appetite. Provides risk, control and compliance consultation / advice, in conjunction with the second...of 3 days a week. COMPENSATION AND BENEFITS The Senior BRC Risk Advisor position is eligible… more
- Citigroup (Chino Hills, CA)
- …the workplace through Citi Global Wealth at Work. The Senior Wealth Advisor will offer comprehensive financial and investment advice to our Citigold(R) and ... Senior Wealth Advisors have access to Wealth's leading investment solutions platform, which allows us to deliver traditional...at the center of everything we do. As a Senior Wealth Advisor , you will partner closely… more
- Citigroup (Ridgewood, NJ)
- …the workplace through Citi Global Wealth at Work. The Senior Wealth Advisor will offer comprehensive financial and investment advice to our Citigold(R) and ... Senior Wealth Advisors have access to Wealth's leading investment solutions platform, which allows us to deliver traditional...at the center of everything we do. As a Senior Wealth Advisor , you will partner closely… more
- Vanguard (Charlotte, NC)
- …and make a lasting impact with a leader in the financial industry! As a Senior Wealth Advisor within Vanguard's Advice and Wealth Management division, you will ... providing financial planning solutions using our time-tested research and investment methodology. Senior Wealth Advisors work in...once in the role. These will be determined by Compliance based on role-specific duties. + 7+ years of… more
- UMB Bank (Rust, MI)
- …takes a holistic and collaborative approach to advise our clients on the investment plan that makes the most sense for their personal financial goals. The ... company to have a diverse revenue stream. The Trust Advisor team is one part of the client relationship...referrals for other bank products and services. + Ensures compliance with the Bank's fiduciary duties in the administration… more
- Southern California Edison (Pomona, CA)
- …Pay Range: $157,800.00 -$236,700.00 Join the Clean Energy Revolution Become a Senior Advisor at Southern California Edison (SCE) on the Distribution/Vegetation ... General Rate Case, Wildfire Mitigation Plan, and Risk Assessment Mitigation Phase. As a Senior Advisor , your work will help power our planet, reduce carbon… more
- Wells Fargo (Chicago, IL)
- **About this role:** Wells Fargo is seeking a Senior Lead Trust Advisor - Special Needs Trust ( Senior Lead Fiduciary Advisory Specialist (LO)) responsible ... (COI), work with internal and external partners (ie care managers). The advisor offers knowledge of state and federal benefit programs, reviews fiduciary tax… more
- Citigroup (Boca Raton, FL)
- The Senior Wealth Advisor SAFE Act is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques ... opportunities to segment partners where appropriate (including, but not limited to Senior Wealth Advisor , Small Business Partners, Home Lending Officer, etc.)… more
- Charles Schwab (San Francisco, CA)
- … investment products and solutions, to both retail and registered investment advisor (RIA) clients. Within WAS, the ** Senior Manager, Investment Offer ... through solutions like Schwab Wealth Advisory (SWA) and Schwab Advisor Network (SAN), along with a broad range of...these products, while growing a key revenue stream. The ** Senior Manager, Investment Offer Strategy** will help… more