• Compliance Officer Senior -Commercial

    City National Bank (New York, NY)
    *COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR * *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining… more
    City National Bank (09/13/25)
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  • Deputy Chief Compliance and Risk Officer,…

    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 Deputy Chief ... Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
    HUB International (08/21/25)
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  • JP Morgan Wealth Management - Private Wealth…

    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
    JPMorgan Chase (08/29/25)
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  • Senior Compliance Analyst - Park Avenue…

    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
    Guardian Life (09/10/25)
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  • Management Development Program - Wealth Markets…

    M&T Bank (Buffalo, NY)
    …support work towards building your own portfolio of business, eventually becoming a Wealth Advisor or Investment Advisor Associate. There is the opportunity ... participation in classroom training, observations of departmental presentations, interaction with senior management, peer networking, and working in teams on two… more
    M&T Bank (10/10/25)
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  • Compliance Analyst

    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
    Guardian Life (08/27/25)
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  • Family Wealth Sr . Fiduciary Advisor

    KeyBank (New York, 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
    KeyBank (08/21/25)
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  • Investment Banking - Sr Associate…

    Citigroup (New York, NY)
    The Investment Banking Senior Associate is an...of this role is to act as a strategic advisor to our clients by formulating investment ... financial transactions in coordination with the Institutional Banking team. The Investment Banking Senior Associate also serves as an intermediary in trading for… more
    Citigroup (10/10/25)
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  • Senior Investment /Portfolio Analyst

    Raymond James Financial, Inc. (Locust Valley, NY)
    …to forecast team revenue and income. * Performs research and analytics used in Investment Strategy white papers for financial advisor or client use. * ... experience, to assist in analyzing portfolio analytics, asset allocation and investment holdings with client portfolios and make appropriate recommendations when… more
    Raymond James Financial, Inc. (09/13/25)
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  • Sr . Advisor , PCG Branch Exams

    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
    Raymond James Financial, Inc. (10/15/25)
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