- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ensure adherence to securities industry regulations and limit firm liability. Reviews advisor and account level advisory day-to-day activity. May be responsible ... research, and resolve problems. **Essential Duties and Responsibilities:** * Conducts supervision reviews and monitors various advisory activities, through the… more
- Navy Federal Credit Union (Houston, TX)
- …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
- Bank of America (Pennington, NJ)
- …Merrill coupled with the banking convenience of Bank of America. The Merrill Advisory Development Program (ADP) Oversight Supervision Principal IV role manages ... abilities. **Responsibilities include, but are not limited to:** + Responsible for Supervision processes to support the Advisory Development Program + Performs… 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 (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
- Wells Fargo (New York, NY)
- …Fargo is seeking a Control Lead Officer as part of the Corporate & Investment Banking (CIB) Control organization which serves as the front line of risk management ... drive strategic projects and initiatives, and serve as an advisor to leadership within the Diverse Segments (DS) and...within the Diverse Segments (DS) and Sustainable Finance & Advisory (SFA) businesses in CIB. The Diverse Segments Team… 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. (St. Petersburg, FL)
- **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 and Service Associate. Fosters and assists in the development of relationships… more
- Robert Half Accountemps (Concord, NC)
- …+ Assist senior financial advisors in providing comprehensive financial planning and investment advisory services to clients. + Conduct research and analysis ... are currently seeking a motivated and ambitious Entry-Level Financial Advisor to join our team on a contract-to-hire basis....to identify suitable investment options and develop tailored financial strategies. + Participate… more
- Truist (Richmond, VA)
- …rules, regulation, priorities and trends 6. Extensive knowledge of brokerage and investment advisory product and business offerings 7. Audit experience 8. ... review the following job description:** Serve as a specialized business risk advisor for Wealth Brokerage and primary escalation point for risk, compliance and… more
- Bank of America (Mandeville, LA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Market Supervision Manager New Orleans, Louisiana;Baton Rouge, Louisiana; Mandeville,...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Charlotte, NC)
- …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 (Philadelphia, PA)
- Merrill Market Supervision Manager Philadelphia, Pennsylvania **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives ... objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- BlackRock (Atlanta, GA)
- …world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, ... BlackRock Model Portfolios + Implement customized portfolio solutions in conjunction with the advisor 's investment goals + Deliver fiduciary and investment … 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