- Bank of America (Providence, RI)
- Merrill Experienced Financial Advisor Honolulu, Hawaii;North Bethesda, Maryland; Los Angeles, California; New York, New York; Frisco, Texas; New York, New York; ... effective **Job Description:** If you have at least 5+ years of experience as a Financial Advisor with a transportable practice, a strong performance in a team… more
- Santander US (Smithfield, RI)
- Financial Advisor , Smithfield, RI Smithfield, United States of America + Achieve and exceed both individual and branch related sales and revenue goals as defined ... on a quarterly basis + Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and… more
- Guardian Life (Providence, RI)
- …team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will have the ability to ... mentor in a high volume, fast paced environment. In this role, the supervision advisor will be expected to use their knowledge and application of the laws,… more
- JPMorgan Chase (East Providence, RI)
- **Summary** Join our fun, high-energy team as a Senior Home Lending Advisor in Chase Home Lending and put your exceptional knowledge and understanding of home ... to all regulatory requirements while marketing and promoting the financial products offered by Chase. You will have a...impact on our business. As a Senior Home Lending Advisor in Chase Home Lending, you will join a… more
- MetLife (Warwick, RI)
- …information, direction and technical assistance to bring resolution while ensuring compliance with all applicable regulatory and legal requirements. You will also ... on questionable claims situations, claims resolutions, customer complaints and ensures compliance with all regulatory requirements. * Review contract language in… more
- CH Robinson (Providence, RI)
- …Ability to work independently in remote work environment + Knowledge of Export compliance (ECCN, Schedule B) + Values a diverse and inclusive work environment ... wellbeing is the foundation of our business, and our benefits support your financial , family and personal goals. We provide the top-tier benefits that matter to… more
- Citizens (Johnston, RI)
- …recordkeeping/supervision solutions. . Qualifications: + 5+ years of broker dealer/investment advisor compliance experience + Strong understanding of the rules, ... Registered Investment Advisor + Experience working within a large, complex financial services organization. + Strong working knowledge of the compliance … more
- Citizens (Johnston, RI)
- …to Compliance Management. + Acting as a Subject Matter Expert and Advisor regarding fair lending and fair banking/UDAAP compliance risks for assigned ... + 3+ years of fair banking or other related consumer compliance experience in consumer financial services or a regulatory agency. + 6+ years' experience in… more
- Citizens (Johnston, RI)
- …accountability, and work with business units to ensure a strong Risk and Compliance culture and control environment awareness. + Serve as an independent advisor ... requirements and expectations. + Provide day to day support to Non- Financial Risk leadership with knowledge and expertise on the appropriate implementation… more
- Citizens (Johnston, RI)
- …& Systems - Extensive experience in finance and accounting practices and financial analysis. Monitors compliance with organizational standards for financial ... impact! As the Finance Director, you will provide valuable financial leadership and direction for the Private Wealth Manager...growth and development. You will function as a trusted advisor to the head of the business line, leading… more