- Raymond James Financial, Inc. (Pittsburgh, PA)
- …Maintain currency in laws, rules and regulations related to registered investment advisor compliance . **Educational/Previous Experience Requirements** ... linkages and trends, and apply findings to assignments. * Interpret and apply investment advisor regulations and identify and recommend changes in policies and… more
- Atria Wealth Solutions (Pensacola, FL)
- Investment Advisor Pensacola, FL, United States and 3 more *PLEASE NOTE: NAVY FEDERAL FINANCIAL SERVICES IS THE EMPLOYER FOR THIS JOB. IF YOU ARE INTERESTED IN ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures...FEDERAL FINANCIAL SERVICES BY CLICKING THE FOLLOWING LINK - Investment Advisor - Navy Federal Careers (oraclecloud.com)… more
- TD Bank (Hartford, CT)
- …role. **Line of Business:** TD Wealth **Job Description:** The Private Client Investment Advisor partners with Relationship Manager to provide comprehensive ... sophisticated investment products to HNW clients. The Investment Advisor will utilize their technical ...administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations… more
- First State Bank (Gainesville, TX)
- Summary: We are seeking an experienced Investment Advisor to focus on selling Wealth Management and Trust services. In addition this person will manage ... their investment portfolios. To be a successful Investment Advisor you must be able to...discuss their portfolio performance. + Evaluating the performance of investment portfolios and ensuring compliance with review… more
- Navy Federal Credit Union (Pensacola, FL)
- …productsand services to achieve the financial client'sgoals as a registered representative/ advisor /agent of Navy Federal Investment Services (NFIS) and ... financial firms. Manage smaller dollar volume account size and less complex investment needs. Partners with and refers advanced financial planning needs to NFIS… more
- M&T Bank (Radnor, PA)
- **Overview:** Provides comprehensive investment management services to Wealth Advisory Services clients. Operates within a professional team environment supporting ... offering consistent with the individual financial goals of clients. Recommends investment solutions via a needs-based, consultative approach, and proactively manages… more
- Berkshire Bank (Albany, NY)
- …delivering a full range of services to clients, including financial planning, investment advising, and fiduciary services. Thrives in a growth and mission-driven ... and provides input on long-term financial and estate planning matters. + Implements investment strategies determined by the investment committee based on client… more
- M&T Bank (New York, NY)
- …applicable laws and regulations and/or that serve to help the Company be in compliance with laws and regulations that apply to the business line the position ... supports. + Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the Company's Risk Appetite. + Identify risk-related issues needing escalation to management. + Promote an environment that supports… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will ... & Co., TripleTree, LLC. (collectively "Commercial Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the CBD… more
- M&T Bank (Clanton, AL)
- **Overview:** The Compliance Advisor in the Compliance Risk Management ("CRM") organization will take on a key leadership role in identifying, assessing, and ... Diligence, suspicious activity, OFAC and regulatory reporting. **Scope of Responsibilities:** The Compliance Advisor works under general supervision of the … more
- Vanguard (Scottsdale, AZ)
- The Senior Compliance Advisor supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring ... investment products within Vanguard's Brokerage/Wealth Mgmt. Client Experience compliance team. This role serves as a trusted ...compliance team. This role serves as a trusted advisor to the business, provides guidance and oversight of… more
- Citizens (New York, NY)
- …the single point of contact for investment needs. The Virtual Financial Advisor will be required to maintain compliance with all Citizens Financial Group ... debts and other liabilities, cash flow and tax status. The Virtual Financial Advisor compares and evaluates possible investment options and identifies … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … risk management processes. * Applicable US broker-dealer and registered investment advisor regulatory requirements and controls. * Concepts, practices, ... certification in securities and/or banking industry to support the firm's compliance monitoring program. Delivers comprehensive Compliance monitoring and testing… more
- Atria Wealth Solutions (Marion, IN)
- …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 ... Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA....www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record… more
- Edward Jones (St. Louis, MO)
- …functions. This department seeks a qualified individual to serve as a Senior HQ Compliance Advisor , located in the St. Louis office, to provide compliance ... in Compliance and across the organization (eg Trading, Operations, Investment Advisory Platform Management, Legal and Risk) + Highly organized, collaborative,… more
- Marex (Chicago, IL)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - FCM Advisor provides ... and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many… more
- Truist (Dallas, TX)
- …the following job description:** The International Wealth Management (IWM) Wealth Advisor 3 serves the Non-Resident/Foreign Nationals client segment including PEPs, ... a portfolio of approximately 25-50 clients. A IWM Wealth Advisor 3 develops and maintains a portfolio of important...financial solutions through the combination of needs anticipation, sound investment management and a broad offering of banking and… more
- Raymond James Financial, Inc. (Virginia Beach, VA)
- …individual practice. The Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and ... learning, apprenticeship and training at the firm's international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for the next… more
- Atria Wealth Solutions (Reston, VA)
- Financial Advisor I - Reston Reston, VA, United States (Hybrid) *PLEASE NOTE: NAVY FEDERAL FINANCIAL SERVICES IS THE EMPLOYER FOR THIS JOB. IF YOU ARE INTERESTED IN ... and growth of NFFG products and services. Recommends appropriate mixture(s) of insurance/ investment products and services to achieve the financial client's goals as… more
- Atria Wealth Solutions (League City, TX)
- …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 ... about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of serving the … more
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