- 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 ... strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting...and interacting with our clients to offer the best investment solutions to meet their financial needs. As a… more
- JPMorgan Chase (New York, NY)
- The Investment Associate is an integral member of the Financial Advisor 's team. An Investment Associate works in close partnership with the Financial ... in conjunction with or by direction of the Financial Advisor + Market and implement complex investment ...Financial Advisor + Market and implement complex investment solutions in accordance with High-Net-Worth clients' investment… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …and services to achieve the financial client's goals as a registered representative/ advisor /agent of Navy Federal Investment Services (NFIS) and subsidiaries, or ... financial firms. Manage smaller dollar volume account size and less complex investment needs. Partners with and refers advanced financial planning needs to NFIS… more
- JPMorgan Chase (Edison, NJ)
- …are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor , member of FINRA and SIPC. Annuities are made available ... strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting...to meet their financial needs. As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive… more
- Citigroup (New York, NY)
- …be expected to: + Function as the primary client contact and trusted investment advisor for clients, including direct selling , determining suitability, ... Group and offers a wide range of products and solutions, including investment strategies, banking and lending, trust and specialized services.The Private Bank… more
- Mizuho Corporate Bank (New York, NY)
- …by the client and determine if sufficient based on regulation + Evaluate an Investment Advisor 's organization structure as well as determine when full KYC ... in a timely manner + Familiarity with and strong grasp of Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (ie: RIA,… more
- Truist (New York, NY)
- …deepen, grow and retain client relationships by providing distinctive and personalized investment advice, covering a wide range of products and solutions that are ... may change from time to time. 1. Deliver personalized investment solutions to help clients work toward their long-term...goals. 2. Set the strategic direction of the Financial Advisor team to increase assets under management, sales and… more
- US Bank (New York, NY)
- …net asset value(s) and disseminate financial and performance information to the investment advisor and their investors. Acting as primary fund accountant ... on multiple relationships, ensures all fund accounting functions are in completed in accordance with Generally Accepted Accounting Principles (GAAP). Records trade information, income/expense activity and applies valuation of securities in the portfolio… more
- Bank of America (Pennington, NJ)
- …and best practices for integrating our managed asset platform into various financial advisor business models. The Merrill Lynch Investment Advisory Program (IAP) ... combines the advice and guidance of an Advisor with investment services backed by the research and insights of Merrill Lynch in a single solution designed to… more
- Neuberger Berman (New York, NY)
- …continuous improvement across Aladdin-enabled workflows. + Serve as a trusted advisor , ensuring investment teams receive timely, high-quality Aladdin support. ... We are seeking an Investment Team Support Associate to join our team....as an operational partner and escalation point for all Investment Teams, including Equities, Fixed Income, Loans, Liquidity, and… more
- Bank of America (New York, NY)
- …who then teams with the DMC Group. The DMC Group partners with the Advisor to provide investment advice and recommendations to clients, securities execution, and ... Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… 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
- US Bank (New York, NY)
- …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
- HUB International (New York, NY)
- …is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief ... Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- JPMorgan Chase (New York, NY)
- The Investment Associate is an integral member of the Financial Advisor 's team. An Investment Associate works in close partnership with the Financial ... in conjunction with or by direction of the Financial Advisor + Market and implement complex investment ...Financial Advisor + Market and implement complex investment solutions in accordance with High-Net-Worth clients' investment… 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 ... business outcomes to identify opportunities for process improvement and enhanced advisor /client experience. + Ensure consistent delivery of training, support, and… more
- Guardian Life (New York, NY)
- …(inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated broker/dealer ... supporting the Law Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values.… more
- Guardian Life (Trenton, NJ)
- …laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated ... supporting the Law Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values.… more
- BlackRock (Princeton, NJ)
- …BlackRock Model Portfolios + Implement customized portfolio solutions in conjunction with the advisor 's investment goals + Deliver fiduciary and investment ... preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and… more
- Ankura (New York, NY)
- …mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor , exempt registered advisor ] and ... cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with colleagues… more