• Senior Compliance Advisor…

    Vanguard (Malvern, PA)
    …enhancing, and overseeing compliance processes and programs that support Vanguard's investment products and trading activities. + Act as the point of contact and ... and trade surveillance. + Support the wider Global Fund, Advisor , and Distribution team as needed. + Participates in...with at least two years within a financial services compliance function. Regulatory, compliance , investment ,… more
    Vanguard (09/16/25)
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  • Senior Compliance Advisor…

    Vanguard (Malvern, PA)
    …that's not just about rules-but about shaping the future of ethical investing. As a Senior Compliance Advisor , you'll be at the forefront of regulatory ... Design & Enhance Compliance Programs : Develop and refine compliance processes for investment products, trading activities, and client interactions.… more
    Vanguard (10/03/25)
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  • Compliance Officer Senior…

    City National Bank (New York, NY)
    * COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR * *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance ... * For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to… more
    City National Bank (09/13/25)
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  • Investment Advisor I - PNC Private…

    PNC (Erie, PA)
    …valued and have an opportunity to contribute to the company's success. As an Investment Advisor I within PNC's Private Bank organization, you will be based ... PA offices (Warren, Sharon, or Meadville, PA) As an Investment Advisor I ( Investment Associate),...Investment Associate), you will provide support for the senior Advisors within the team. This includes monitoring accounts… more
    PNC (10/02/25)
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  • Senior Compliance Advisor

    Vanguard (Malvern, PA)
    …as well as compliance monitoring functions related to business activities and investment products. Serves as a trusted advisor to the business, provides ... oversight of regulated activities. Core Responsibilities + Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders… more
    Vanguard (09/30/25)
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  • Senior Wealth Advisor

    Columbia Bank (Santa Rosa, CA)
    …+ 5+ years of experience as an investment executive, financial advisor , certified financial planner, investment advisor Representative, or wealth ... Senior Wealth Advisor Wealth Management Irvine,...level of individualized service based on comprehensive planning and investment strategies consistent with their individual financial goals and… more
    Columbia Bank (09/09/25)
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  • Senior Portfolio Advisor

    Citigroup (New York, NY)
    …As a critical contributor to the CIO team, the Senior Portfolio Advisor will have responsibilities related to both investment solutions and client engagement ... advisor needs, and product development opportunities + **Participate in the Global Investment Committee** , a management team of senior thought leaders who… more
    Citigroup (08/14/25)
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  • Financial Advisor Senior

    City National Bank (West Hollywood, CA)
    *FINANCIAL ADVISOR SENIOR * WHAT IS THE OPPORTUNITY? The Senior Financial Advisor (SFA) serves as Wealth Management's primary point of contact for ... sell to existing clients. * Profile with specific emphasis on discovering investment related needs and solutions in collaboration with PBB colleagues. * Establish… more
    City National Bank (09/27/25)
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  • Senior Advisor , Compliance…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams ... communication of Code of Conduct updates across the organization. + Routinely interacts with senior leaders within Compliance , Risk, AML and across the firm. +… more
    Raymond James Financial, Inc. (08/08/25)
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  • Senior Business Risk and Controls Risk…

    KeyBank (Amherst, NY)
    …position may be filled at different salary grade levels depending on requirements._** ** Senior Business Risk and Controls Risk Advisor ** ABOUT THE JOB (JOB ... operating within defined risk appetite. Provides risk, control and compliance consultation / advice, in conjunction with the second...of 3 days a week. COMPENSATION AND BENEFITS The Senior BRC Risk Advisor position is eligible… more
    KeyBank (10/04/25)
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