- Guardian Life (Albany, NY)
- …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
- 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
- Wellington (New York, NY)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...those of our clients. **About the Role** **Position** The Advisor Education Marketing Strategist will bring a unique set… more
- Bank of America (Buffalo, NY)
- 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
- City National Bank (New York, NY)
- *FINANCIAL ADVISOR SENIOR* WHAT IS THE OPPORTUNITY? The Senior Financial Advisor (SFA) serves as Wealth Management's primary point of contact for assigned line ... sell to existing clients. * Profile with specific emphasis on discovering investment related needs and solutions in collaboration with PBB colleagues. * Establish… more
- Santander US (Staten Island, NY)
- …for identifying needs, understanding client objectives, and making appropriate investment /insurance recommendations consistent with compliance standards to ... Financial Advisor - Centralized, Staten Island, NY Country: United...goals as defined on a quarterly basis. + Maintains compliance with all applicable bank, broker/dealer, State and Federal… more
- NBT Bank (Williamsville, NY)
- …Requirements: FINRA Series 7, Series 63 and life insurance license or a Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review ... $58,500 - $520,000 Interviews and profiles customers/prospects to determine investment and insurance needs, recommends appropriate products/solutions with a focus… more
- JPMorgan Chase (New York, NY)
- …the investment platform, focusing on improving client outcomes and advisor experiences. The team collaborates extensively with various stakeholders and senior ... product development, manager research, and other areas to enhance our expansive investment product offering and advisor toolset. Through the enhancements you… more
- Tompkins Community Bank (Mount Kisco, NY)
- …with each client's goals and values. This role serves as a key advisor and team collaborator, integrating investment , banking, trust, and insurance professionals ... Overview Position Summary: The Wealth Advisor is responsible for building and maintaining client...wealth management solutions by collaborating with internal partners across investment , trust, banking, and insurance disciplines to deliver a… more
- Citigroup (New York, NY)
- …in the workplace through Citi Global Wealth at Work. The Senior Wealth Advisor will offer comprehensive financial and investment advice to our Citigold(R) ... segments. Senior Wealth Advisors have access to Wealth's leading investment solutions platform, which allows us to deliver traditional...center of everything we do. As a Senior Wealth Advisor , you will partner closely with a dedicated Wealth… more