- Guardian Life (Tallahassee, FL)
- …insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an ... Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …emerging risks, regulatory changes, supplier, and product risk assessments. + Provide compliance support on various investment advisory areas of coverage, not ... Skills, and Abilities** **Knowledge of:** + Concepts, practices and procedures of investment advisory, securities industry and/or banking compliance reviews. +… more
- Raymond James Financial, Inc. (Lakewood Ranch, FL)
- …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
- Bank of America (Tampa, FL)
- Merrill Experienced Financial Advisor Honolulu, Hawaii;North Bethesda, Maryland; Los Angeles, California; New York, New York; Frisco, Texas; New York, New York; ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Honolulu/Merrill-Experienced-Financial- Advisor \_24007333) **Job Description:** Merrill Wealth Management is a leading… more
- Neuberger Berman (FL)
- The Advisor Consultant is responsible for creating new relationships and managing existing ones with Financial Advisors at Merrill Lynch, Morgan Stanley, UBS, Wells ... Raymond James, LPL, and Ameriprise. The goal of the Advisor Consultant is to increase sales and revenue of...of Neuberger Berman mutual funds, SMAs, ETFs, and alternative investment strategies within the prescribed territory of Northern Florida.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to ... gather, validate and analyze Compliance data to ensure accuracy and completeness. + Develops...+ Effective reporting and communicating complex information. + Fundamental investment concepts, practices and procedures used in the securities… more
- Truist (Orlando, FL)
- …America) **Please review the following job description:** The Wealth Private Advisor 's primary responsibility is to deepen client relationships around banking, ... segment clients. Located within a virtual, the Wealth Private Advisor will act as the point of contact for...Directors and PSG FAs Work within the existing audit, compliance and regulatory framework to ensure a high quality,… more
- Citigroup (Jacksonville, FL)
- The Wealth Solutions Advisor SAFE Act position is a developing professional role. The ideal candidate possesses knowledge of the financial industry, with the ability ... within a team-based environment. You will be responsible for proactive investment and banking guidance/education, which includes account opening and asset gathering,… more
- Truist (Jupiter, FL)
- …America) **Please review the following job description:** Serve as primary relationship advisor for high net worth and ultra-high net worth wealth clients. ... in the community * Expected to be the expert level "market moving" advisor with ability to handle the most challenging, sensitive and complex banking relationships.… more
- Truist (Tampa, FL)
- …7 years investment experience, which should include experience as an investment advisor , portfolio manager, or other investment -related activities with ... partner in new business development and acts as a primary source for investment communication. Assists the Wealth Advisor in acquiring Reserve-level, prospective… more