- Guardian Life (New York, NY)
- …laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated ... Law Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose,...Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance … more
- 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
- HUB International (New York, NY)
- …Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This ... HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer:...and advisor staff. + Participate in the investment due diligence process for SEC compliance … 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
- Citigroup (New York, NY)
- …CIO's views. As a critical contributor to the CIO team, the Senior Portfolio Advisor will have responsibilities related to both investment solutions and client ... + **Identify and initiate cross-business opportunities** with the various coverage teams and investment solutions **.** + Ensure 100% ** compliance on all Citi… 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
- Bank of America (New York, NY)
- Market Leader - Advisor Development Program New York, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend ... be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Market-Leader Advisor -Development-Program\_25033922-2) **Job Description:** Merrill Wealth Management is a leading… 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