- Commerce Bank (Kansas City, MO)
- …estimate of the compensation range for some roles. This compensation range is for the Investment Compliance Advisor I, II, III, and Senior - Trust job ... the best version of yourself. Because our number one investment is you. Creating an award-winning culture doesn't come...The main purpose of this job is to provide compliance advice with respect to implementation of, and … more
- 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
- 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 ... well as firm policies governing advisory accounts. A Senior Advisor , general investment advisory is expected to...advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …training programs and ability to liaison between functional areas. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is ... up to date with advisory regulations. * Assists in researching Supervision, Compliance and other issues. * Assists in developing training programs, including… more
- 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
- 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
- Citizens (Boston, MA)
- …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
- 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
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