- 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
- Truist (Atlanta, GA)
- …priorities. 6. Strong written and verbal skills. 7. Uses judgment but close supervision is required for most tasks. 8. Demonstrated proficiency in basic computer ... applications, such as Microsoft Office software products. 9. Ability to travel, occasionally overnight. **Preferred Qualifications:** 1. Master's degree in Finance or Business, or equivalent education and related training. 2. Six plus years of banking or… more
- Truist (Norfolk, VA)
- …retail brokerage with an emphasis in operations, management and supervision . 3. Bachelor's degree in business, accounting, finance, banking or equivalent ... Richmond, Charlottesville, Williamsburg, Norfolk, Virginia Beach Responsible for the supervision of Client Service Associates, including their sales support… more
- Citigroup (New York, NY)
- …for clients. The overall objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital for clients. ... Build a culture of responsible finance, good governance and supervision , expense discipline and ethics + Appropriately assess risk/reward...to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere… 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
- The Salvation Army (Syracuse, NY)
- Overview Neighborhood Advisor , Case Management Full-Time, Hourly, Non-Exempt with Health Benefit Package 749 South Warren Street, The Salvation Army of the Syracuse ... Area Adult Day Program for Senior Services Position Overview: The Neighborhood Advisor is tasked with providing Outreach case management and housing crisis… more
- Thrivent Financial (Rochester, MN)
- …well-established, high-performing Emerald Financial team is seeking a Client Service Advisor to service and maintain our current highly valued client relationships. ... building rapport with clients over time + Work independently with minimal supervision servicing and maintaining strong relationships with existing clients + Update… more
- Thrivent Financial (Rochester, MN)
- …established, high performing team is currently looking for a Client Service Advisor . This position provides support to Emerald Financial Groups existing client base. ... governing the financial advisory profession + Work independently with minimal supervision servicing and maintaining strong relationships with existing clients +… more
- Federal Reserve System (Dallas, TX)
- …or related field. + Minimum of seven years of relevant experience in banking, brokerage and financial services, or banking supervision . + Strong knowledge of ... will also be responsible for assessing markets and securities compliance for the brokerage and investment advisory operations. In this role you will lead and… more
- AON (New York, NY)
- …selection through policy delivery to client. + With minimal guidance and supervision , identifies and analyzes client exposures and determines which markets to ... of the client facing team, acting as a trusted advisor to the client in broking, designing, selling and...decisions. + Minimum of 2+ years of marine insurance brokerage and/or underwriting experience and/or related experience. + Solid… more
- Citizens (Johnston, RI)
- …Senior Risk Director will integrate activities between Risk, Compliance, and brokerage and Investment management Supervision . Experience in developing Private ... Wealth risk and compliance programs for dual-registered Broker-Dealer/Registered Investment Advisor , and RIA serving ultra-high net worth clients, 12 CFR 9 Trust and… more
- Truist (Charlotte, NC)
- …abreast of observations, trends and policy oversights 5. Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned ... for review by the Central Supervision Group. 6. Review and approve Retail Communications, Seminars...Insurance Licensing** 3. 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in… more
- MassMutual (Springfield, MA)
- …Our strategy includes growing and retaining our most successful and influential advisor population across the country and supporting them with an operational ... back-office review and firm-acceptance of new and existing submissions related to Brokerage , Direct and Third-Party Advisory accounts. + Review trading activity of… more
- City National Bank (Newark, DE)
- …Review daily overdraft and un-invested cash to assist with the tracking and supervision of the Program accounts. + Provide back-up support for client inquiries when ... Investment Officers and client requests across a broad range of brokerage activities for retirement and non-retirement accounts including establishing new accounts,… more
- Capital One (New York, NY)
- …regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element ... of conduct + Advising and supporting Principals on their business decisions, supervision of persons or functions, and compliance with applicable rules + Providing… more
- OEC Group (Greenwood Village, CO)
- …to identify the needs of prospective clients and perform as a trusted advisor for their freight forwarding needs. Requirements: + Minimum 3 years' experience ... ERP system is preferred. + Ability to work independently and with limited supervision . + Solid understanding of local territory and market opportunities. + High… more
- CBRE (Dallas, TX)
- …and/or industry. * Develops a reputation as an opinion leader and trusted advisor . * Drives innovation and thought leadership and effectively manages and leads team ... and develops innovative solutions. **CERTIFICATES and/or LICENSES** Real Estate sales, brokerage or appraisal license required as appropriate for business unit.… more
- Citigroup (Tampa, FL)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... help define operating standards and processes + Serve as advisor or coach to new or lower level analysts...ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy.… more