- JPMorgan Chase (New York, NY)
- …are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor , member of FINRA and SIPC. Annuities are made available ... strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting...and interacting with our clients to offer the best investment solutions to meet their financial needs. As a… more
- Citigroup (New York, NY)
- … is responsible for all matters related to the learning and culture needs of Investment Banking. The Learning Advisor will be required to develop an in-depth ... understanding of the needs of Investment Banking, and address those needs via leveraging existing...the global Citi learning agenda and priorities. The Learning Advisor will be required to develop a thorough understanding… more
- JPMorgan Chase (Garden City, NY)
- …are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor , member of FINRA and SIPC. Annuities are made available ... strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting...to meet their financial needs. As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive… more
- NBT Bank (Plattsburgh, NY)
- …Requirements: FINRA Series 7, Series 63 and life insurance license or a Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review ... $52,000 - $520,000 Interviews and profiles customers/prospects to determine investment and insurance needs, recommends appropriate products/solutions with a focus… more
- City of New York (New York, NY)
- …Comptroller's Bureau of Asset Management (BAM) supports the Comptroller in his role as investment advisor , custodian, and trustee for each of the five New York ... City public servants including teachers, firefighters, police officers, and more. As investment advisor for some of the largest public pension fund systems in… more
- Guardian Life (Albany, NY)
- …will** + Responsible for making independent suitability decisions when approving of all Investment Advisor accounts at account opening (including the review of ... team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will have the ability to… more
- Morgan Stanley (New York, NY)
- …of industry, global markets and regulations relevant to coverage area (eg, SEC investment advisor regulations, '40 Act requirements) . Ability to articulate risk ... We're seeking an experienced audit professional to join our Investment Management audit team as a Director to execute various assurance activities in order to assess… more
- JPMorgan Chase (New York, NY)
- …are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor , member of FINRA and SIPC. Annuities are made available ... maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting edge digital… more
- CIBC (New York, NY)
- …OCC licensed trust company, CIBC Private Wealth Advisors, Inc., an SEC registered investment advisor , and CIBC Delaware Trust Company, a limited purpose Delaware ... **Who You Are** + Strong working knowledge of OCC and SEC investment advisor regulations; + 10+ years asset management Compliance experience, preferably with a… more
- Capital One (New York, NY)
- …or military experience + At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for ... Master's Degree or Juris Doctor + Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO + 11+ years of experience working in broker-dealer… more