• Senior Compliance Analyst - Park Avenue…

    Guardian Life (Annapolis, MD)
    …insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an ... Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing… more
    Guardian Life (06/14/25)
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  • Chief Supervision Officer - Individual Solutions…

    Principal Financial Group (Des Moines, IA)
    …financial services industry, with extensive senior-level expertise in broker-dealer and investment advisor compliance , risk management, operations, ... **What You'll Do** Are you ready to shape the future of supervision and compliance at one of the most respected financial institutions in the industry? We're seeking… more
    Principal Financial Group (07/26/25)
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  • Investment Advisor

    Navy Federal Credit Union (Cherry Hill, NJ)
    …and services to achieve the financial client's goals as a registered representative/ advisor /agent of Navy Federal Investment Services (NFIS) and subsidiaries, or ... financial firms. Manage smaller dollar volume account size and less complex investment needs. Partners with and refers advanced financial planning needs to NFIS… more
    Navy Federal Credit Union (07/29/25)
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  • Senior Advisor , Supervision-…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and guidelines as well as firm policies governing advisory accounts. A Senior Advisor , general investment advisory is expected to conduct reviews which can ... **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations… more
    Raymond James Financial, Inc. (07/15/25)
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  • JP Morgan Wealth Management - Private Client…

    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 (05/25/25)
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  • Senior Compliance Advisor , Fund…

    Vanguard (Malvern, PA)
    …and internal policies, focusing on information barriers, conflicts of interest, and investment management compliance advisory support. You will serve as a ... trusted advisor to the investment management business and...with at least two years within a financial services compliance function. Regulatory, compliance , investment ,… more
    Vanguard (07/29/25)
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  • Merrill Team Financial Advisor

    Bank of America (Darien, CT)
    Merrill Team Financial Advisor Darien, Connecticut **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Darien/Merrill-Team-Financial- Advisor \_25031654-2) **Job Description:** Merrill Wealth Management is a leading… more
    Bank of America (07/25/25)
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  • Manager, Software Compliance Advisor

    Capital One (Mclean, VA)
    Manager, Software Compliance Advisor Ever since our first credit card customer in 1994, Capital One has recognized that technology and data can enable even large ... new and merging technology + Experience with the corporate investment due diligence processes At this time, Capital One...be regularly worked. McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager Richmond, VA: $132,800 -… more
    Capital One (05/17/25)
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  • Virtual Financial Advisor - Greater…

    Citizens (Conshohocken, PA)
    …the single point of contact for investment needs. The Virtual Financial Advisor will be required to maintain compliance with all Citizens Financial Group ... debts and other liabilities, cash flow and tax status. The Virtual Financial Advisor compares and evaluates possible investment options and identifies … more
    Citizens (08/01/25)
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  • Marketing Strategist, Advisor Education

    Wellington (Boston, MA)
    **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...those of our clients. **About the Role** **Position** The Advisor Education Marketing Strategist will bring a unique set… more
    Wellington (06/28/25)
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