- Thrivent Financial (Minneapolis, MN)
- We exist to help people achieve financial clarity. At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to ... providing financial advice, investments, insurance, banking and generosity programs to...Job Summary This position is responsible for providing portfolio compliance oversight for Thrivent's General Account, mutual funds, and… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …offers a comprehensive education for the next generation of Raymond James Financial Advisors. The program takes a holistic approach by incorporating training for ... for success. In conjunction with a Mentor, Branch Manager, and/or a team of Financial Advisors, the Financial Advisor Trainee will learn to build an individual… more
- Bank of America (Beaumont, TX)
- Team Financial Advisor BEAUMONT, Texas **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To proceed with your ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/BEAUMONT/Team- Financial -Advisor\_25038253) **Job Description:** Merrill Wealth Management is a leading… more
- TD Bank (Greenville, SC)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...services and other initiatives that have significant operational or financial impact + Integrates the broader organizational context into… more
- Vanguard (Malvern, PA)
- …require regulatory license and/or registration (eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7, 14, 24 or 65, ... Financial integrity from the inside out Vanguard's core...of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and… more
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9, Series 10, Series 63 +… more
- PNC (San Antonio, TX)
- …transaction activity of the deal team including pipeline management and financial reporting. * Works strategically with bankers, underwriting syndicate, sales team, ... industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with… more
- Navy Federal Credit Union (Honolulu, HI)
- Overview To provide financial consulting services to assist members and non-members with identifying their financial goals and objectives via telephone or video ... mixture(s) of insurance/investment products and services to achieve the financial client's goals as a registered representative/advisor/agent of Navy Federal… more
- TD Bank (Burlington, VT)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Trainee (FA Trainee) role is intended to be a transitional role ... set of skills to qualify for the role of Financial Advisor Associate (FAA) in the expected time frame....insurance sales, including for qualified accounts in accordance and compliance with all of TD Wealth's policies and procedures… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …or grandfathering cannot be applied. * Series 7. * Series 63, 65 and/or 66 as required by state. * Certified Financial Planner (CFP) designation preferred. ... **Job Summary** A candidate that is passionate about crafting comprehensive financial plans and prefers to focus on planning rather than client acquisition. We are… more