- PNC (Philadelphia, PA)
- …their investment process. Authors final reports that are presented to Investment Advisor Research. Updates manager profiles and is responsible for quarterly ... portfolios that sit at the core of the AMG Investment Office's guidance for our clients. You will conduct...class investing either as a research analyst or client-facing advisor along with strong quantitative capabilities, including systems like… more
- CIBC (New York, NY)
- …OCC licensed trust company, CIBC Private Wealth Advisors, Inc., an SEC registered investment advisor , and CIBC Delaware Trust Company, a limited purpose Delaware ... **Who You Are** + Strong working knowledge of OCC and SEC investment advisor regulations; + 10+ years asset management Compliance experience, preferably with a… more
- MassMutual (Boston, MA)
- …across investment advisory programs and platforms offered through our Investment Advisor /Broker-dealer, MMLIS including Wealth Management Services (WMS), our ... we are growing and expanding capabilities for our Financial Advisor salesforce of ~7,000 advisors. The Head of Business...with expertise on risk management and fluency in the investment advisory business and the requirements of both FINRA… more
- Atria Wealth Solutions (Winston Salem, NC)
- …Services, LP ("CFS"), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor . Products offered through CFS: are not NCUA/NCUSIF or ... holistic financial planning + Develop and implement a Financial Advisor development program, including continuing education and professional development resources… more
- Atria Wealth Solutions (Philadelphia, PA)
- …with CUSO Financial Services, L. P. (CFS) Ardent Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in ... assets, over 34,000 members, and is looking for a Financial Advisor to join an established investment program. As a Financial Advisor your responsibilities… more
- Atria Wealth Solutions (San Rafael, CA)
- …part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services to its members in the San Rafael, ... them develop their careers. How does providing Member-Clients with investment , retirement, and educational planning and advice at a...further: Redwood Credit Union is looking for a Financial Advisor who wants something more! As a Financial … more
- Principal Financial Group (Des Moines, IA)
- …and mitigates risk as needed. + Responsible for broker dealer and investment advisor supervision, surveillance and monitoring activities. + Engagement and ... and platforms used for supervision and surveillance for broker dealer and investment advisor . + Ensure that the supervision team is identifying gaps and… more
- Capital One (New York, NY)
- …or military experience + At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for ... Master's Degree or Juris Doctor + Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO + 11+ years of experience working in broker-dealer… more
- Atria Wealth Solutions (Battle Creek, MI)
- …part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services for its members in and around the ... every day. They are looking to add a financial advisor to the team to join the credit union's...objectives and goals of the individual, then develops an investment strategy to implement. + Stays current and analyzes… more
- Atria Wealth Solutions (Cambridge, MA)
- …Impact People's Lives! CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services for members of Harvard University ... Services, LP (CFS), the credit union and dedicated Financial Advisor have access to the best of both worlds,...objectives and goals of the individual, then develops an investment strategy to implement. + Stays current and analyzes… more