- City National Bank (New York, NY)
- …of the portfolio review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while ensuring that ... * FINANCIAL ADVISOR SENIOR* WHAT IS THE OPPORTUNITY? The...Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional… more
- Raymond James Financial, Inc. (Memphis, TN)
- …degree (BA /BS) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred. ~or~ + Any equivalent combination ... **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others … more
- Capital One (Richmond, VA)
- …5+ years of experience in compliance , legal, or audit + Experience in the financial services industry + CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 ... Manager, Compliance - Local Governance Capital One is a...a diversified bank that offers a broad array of financial products and services to consumers, small business and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through experience, specialized training, or certification to provide all levels of financial services in a team environment to clients of the company by ... combining the traditional roles of the Financial Advisor and Service Associate. The ideal candidate will...* Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as… more
- Raymond James Financial, Inc. (Plattsburgh, NY)
- **Job Summary** We are seeking a Financial Advisor to join our team who has a shared vision of clients being our main priority. The successful candidate must be ... responsible, confident, self-motivated and a team player. The Financial Advisor is responsible for entering client trades, servicing client requests, and ensuring… more
- Citizens (New York, NY)
- …Series 86 and Series 87 exams. Responsibilities: + Create and maintain financial models + Perform financial analysis and due diligence + Write company ... follows companies in seven broad growth industries: Technology, Healthcare, Financial Services, Consumer, Industrial, Digital Infrastructure and Real Estate-and… more
- Guardian Life (New York, NY)
- …and accountability for delivering on commitments timely. **Reporting Relationships** As our Financial Compliance Analyst, you will report to the Head of ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...of education and work experience 2. Eight years of financial institution experience 3. Five years of direct experience… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- Wells Fargo (Denver, CO)
- …work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more