- Citigroup (New York, NY)
- …be expected to: + Function as the primary client contact and trusted investment advisor for clients, including direct selling , determining suitability, ... The Invst Counselor Sr Principal is an internally and externally recognized...in order to negotiate internally and externally at a senior levels. Negotiations will have an impact on the… more
- Citigroup (Queens, NY)
- **Job Title:** Hedge Fund and Private Credit Investment Officer ( Senior Vice President) The US Pensions Investment ("USPI") team is the investment ... advisor to ensure optimal performance and adherence to investment mandates. This position will report directly to the...for portfolio changes to the CIO and the various Investment Committees. + ** Advisor Relationship Management:** Oversee… more
- Neuberger Berman (New York, NY)
- …continuous improvement across Aladdin-enabled workflows. + Serve as a trusted advisor , ensuring investment teams receive timely, high-quality Aladdin support. ... We are seeking an Investment Team Support Associate to join our team....Aladdin data/technology; define KPIs/SLAs and publish actionable scorecards to senior management. + Drive UAT, training, and adoption for… more
- Bank of America (New York, NY)
- …who then teams with the DMC Group. The DMC Group partners with the Advisor to provide investment advice and recommendations to clients, securities execution, and ... Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- HUB International (New York, NY)
- …is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief ... Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- KeyBank (Tarrytown, NY)
- …401 Plymouth Road - Plymouth Meeting, Pennsylvania 19462 Job Description The Sr . Fiduciary Advisor is primarily responsible for fulfilling the fiduciary ... while managing fiduciary risk. For Family Wealth legacy relationships, the Fiduciary Advisor serves as the primary point of contact and manages the day-to-day… more
- Guardian Life (Albany, NY)
- …laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with 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,...part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue… more
- Raymond James Financial, Inc. (New York, NY)
- …of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial ... markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise, cross-functional communications, both written and oral + Identification of opportunities for the development, enhanced consistency, and ongoing… more
- Guardian Life (New York, NY)
- …(inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated broker/dealer ... supporting the Law Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values.… more
- Ankura (New York, NY)
- …mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor , exempt registered advisor ] and ... and will keep clients abreast of regulatory changes. We are seeking a Senior Associate, License Maintenance, to join the team. Ideally this role would be… more