- Guardian Life (Bethlehem, PA)
- …functions related to the field sales force. **You will** + Make independent suitability decisions when approving all Investment Advisor accounts at account ... As a part of the Supervision and Business Risk (SaBR) team, the individual(s)...based upon regulatory requirements and firm policy in making suitability decisions. Document in a professional and consistent manner… more
- JPMorgan Chase (Chicago, IL)
- …and outreach to executive level stakeholders. **Job responsibilities** + Conduct suitability reviews for a variety of brokerage transactions, including stocks, ... + Engage in project work and additional tasks as assigned by Central Supervision Management. + Identify and implement process improvements to drive change. +… more
- Raymond James Financial, Inc. (Cincinnati, OH)
- **Job Description** **Job Summary:** Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or ... education. **Essential Duties and Responsibilities:** * Partners with Financial Advisor to review clients' current portfolio design, understand client goals,… more