- Guardian Life (Bethlehem, PA)
- …sales force. **You will** + Make independent suitability decisions when approving all Investment Advisor accounts at account opening (including the review of ... As a part of the Supervision and Business Risk (SaBR) team, the individual(s)...Advice Capture within PAS approved systems). + Enforce Investment Advisory platform compliance policies and guidelines… more
- Thrivent Financial (Bismarck, ND)
- …marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and ... and design decisions. + Works with clients, under the supervision of Lead Advisor , to obtain information...individuals who are financial advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's… more
- Atria Wealth Solutions (Reston, VA)
- …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 (Pepper Pike, OH)
- …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
- 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
- Broadview FCU (Albany, NY)
- …management and growth strategies as a Sales Manager for the Advisor Team. Essential Job Functions/Responsibilities: + Develop and implement individual business ... plans and strategies for Broadview Wealth Management Advisory team, including strategic planning along with the... team, including strategic planning along with the Chief Investment Officer. + Develop sales goals, lead pipeline management… 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
- Truist (Raleigh, NC)
- …+ 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. + Must have exceptional ... cases. + Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations, and operations. + Strong organizational… more
- Commerce Bank (Garden City, KS)
- …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 more ... management services including financial planning, estate and tax planning, investment management, private banking and trust administration services. Our approach… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …firm is building out their Partner Services function and hiring a Senior Tax Advisor to the team. The ideal candidate will have excellent organizational, oral and ... detail-oriented, highly accurate, and a self-starter who can work with minimal supervision in a team-oriented environment. The finance group, which provides support… more
- Atria Wealth Solutions (Rockville, MD)
- …to review all business for licensing and completeness before it is submitted to an Advisor Supervision Principal for review. We offer a rewarding career path and ... clients. Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial… 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. ... Merrill Private Wealth Supervision Manager Los Angeles, California **Job Description:** Merrill...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Pasadena, 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 Pasadena, California **Job Description:** Merrill Wealth...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Miami, FL)
- …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 Miami, Florida **Job Description:** Merrill Wealth...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (San Jose, CA)
- Merrill Associate Market Supervision Manager San Jose, California **Job Description:** Merrill Wealth Management is a leading provider of comprehensive wealth ... management and investment products and services for individuals, companies, and institutions....life they envision through a personal relationship with their advisory team committed to their needs. We believe trust… more
- Bank of America (Albuquerque, NM)
- Merrill Market Supervision Manager Albuquerque, New Mexico **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
- Bank of America (San Francisco, CA)
- Merrill Private Wealth Supervision Manager San Francisco, California **Job Description:** At Bank of America, we are guided by a common purpose to help make ... solutions and asset management to individuals and institutions. The Private Wealth Supervision Managers role is to supervise our Private Wealth advisors, and clients… more
- BlackRock (San Francisco, CA)
- …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
- Thrivent Financial (Glenwood, MN)
- …Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and variable ... marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Truist (Winston Salem, NC)
- …preferred. + 6-8 + years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. + Employee must have ... supervisor for assigned group of high performing Wealth Brokerage advisor teams and primary point of contact for Central...a thorough knowledge of retail brokerage and investment advisory industry rules, regulations, and operations.… more
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