- Truist (Orlando, FL)
- …general servicing and support of the Financial Advisors within our Centralized Group. This includes administrative and operational support, business development ... assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable. ESSENTIAL DUTIES AND RESPONSIBILITIES… more
- TD Bank (Orlando, FL)
- …Jurisdiction (OSJ). This job assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US ... adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability...to help identify trends areas of concern * Executes centralized control report activity used to issue inquiries to… more