- Raymond James Financial, Inc. (Denver, CO)
- **Essential Duties and Responsibilities:** + Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through ... and branch managers. + Monitors and keeps up to date with securities/ advisory regulations and applies them accordingly. + Interprets, applies, and recommends changes… more
- Raymond James Financial, Inc. (Southfield, MI)
- …and regulatory policies and procedures. Conducts daily supervisory reviews over advisor activities in their assigned branches with limited guidance. This includes ... steps and plan for proper resolution. Escalates supervisory concerns to division supervision or business partners and works in partnership to resolve outstanding… more
- Bank of America (Mount Laurel, NJ)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Advisor Development Program Client Associate Mount Laurel, New...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Bloomfield Hills, MI)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... sales management in executing sale force growth plans and support effective Advisor recruiting strategies. + Sales Supervision : Administer superior sales … more
- Thrivent Financial (Newbury Park, CA)
- …marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and ... CA. We are growing and adding an Associate Financial Advisor to our team. As a team, we simplify...individuals who are financial advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's… more
- Thrivent Financial (Bellevue, WA)
- …marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and ... Team-Based Financial Advisor Meaningful work. Rewarding career. Make an impact...individuals who are financial advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's… more
- SMBC (New York, NY)
- …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... Role Description The VP, Regulatory Officer works with the Regulatory Relations Advisory team to implement and execute SMBC's regulatory engagement framework and… more
- Commerce Bank (St. Louis, MO)
- …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 ... management services including financial planning, estate and tax planning, investment management, private banking and trust administration services. Our approach… more
- Commerce Bank (Columbia, MO)
- …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 ... management services including financial planning, estate and tax planning, investment management, private banking and trust administration services. Our approach… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and mentors less experienced Compliance associates. + Supports Capital Markets & Advisory ("CMA") Compliance in overseeing the compliance program for the CMA ... (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.… more
- Bank of America (San Diego, CA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Merrill Market Supervision Manager Newport Beach, California;San Diego, California **To...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… 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 ... requirements and Enhanced Due Diligence without immediate direction or supervision + Conduct OFAC and Negative News searches on...timely manner + Familiarity with and strong grasp of Investment Advisor Public Disclosure and Edgar sites,… more
- Citigroup (Miami, FL)
- …experience. The ME combines market strategy, business development, and robust advisor supervision to expand client relationships, capture new opportunities, ... is a strategic, results-driven leader capable of balancing growth initiatives, advisor development, and stringent regulatory supervision . Success in this… 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
- CrossBoundary (Washington, DC)
- … CrossBoundary Advisory , part of CrossBoundary Group, is a leading investment advisor focused on unlocking private capital in underserved markets. We ... Leading transaction advisory work by: + Sourcing and evaluating potential investment opportunities + Sourcing and leading investor reach outs on behalf of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Regulatory and compliance standards (eg, FINRA, SEC) as they apply to advisory practices * Advisor recruiting and onboarding best practices. * Company's ... contractor division, with a focus on delivering an exceptional client and advisor experience. This role is responsible for driving high-impact initiatives that… more
- Bank of America (San Diego, CA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- Bank of America (Los Angeles, CA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- CBRE (Madison, WI)
- LP - FHA Vice President Job ID 247437 Posted 24-Nov-2025 Service line Advisory Segment Role type Full-time Areas of Interest Capital Markets Location(s) Remote - US ... with commercial real estate finance, including commercial appraising, market analysis, and investment analysis. **What you'll do:** + Develop and maintain a robust… more
- Bank of America (San Francisco, CA)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more