- UpvoteDownvoteShare Job
- Suggest Revision
Minimum of 1 year working at an RIA or broker-dealer, ideally in a support or operational role. We have completed our transition from a large broker-dealer and are continuing to grow rapidly.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Assist with litigation and regulation advisory matters that arise at a broker-dealer. 5-7 years of experience in the financial services space, either at a law firm or preferably some broker-dealer experience.
ExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC.Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Gute Financial Services is not a registered broker/dealer and is independent of Raymond James Financial Services.
ExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Providing advisory services and performing periodic monitoring of U.S. broker-dealer trade reporting (TRACE, EBS) and daily sales and trading activities. Assisting with the design and implementation of CIBC’s US Broker-Dealer compliance program.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
We’re proud to be the industry leader in life insurance, a top 10 independent broker-dealer, and one of Fortune’s World’s Most Admired Companies. Many people from the industry think NM is just an insurance company, but they haven’t seen their capabilities from an investment advisory perspective.
$40,000 - $80,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Top 5 Independent Broker Dealer by Financial Advisor magazine and InvestmentNews (2020) Comprehensive Planning Analysis tools, brokerage and advisory platforms, as well as wealth management.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Assisting the US Broker-Dealer CCO in coordinating U.S. regulatory exams, inquiries by regulators, and audits of Compliance by Internal Audit; Assisting with the drafting of CIBC’s US Broker-Dealer Annual Chief Compliance Officer Report.
ExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Experience with broker-dealer rules (including for example, rules concerning conflicts, communication with the public and advertising) is helpful. The secondee will be a member of a broader group of advisory attorneys servicing Morgan Stanley's Institutional Securities Group global capital markets, equity sales and trading businesses and may collaborate with attorneys advising Morgan Stanley Wealth Management's business.
ExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Lincoln Investment is a full-service Broker-Dealer, Registered Investment Adviser whose financial professionals offer a wide variety of retirement plan accounts, investment advisory services, college savings plans, insurance products and non-qualified investments.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Display the ability to be a self-starter/entrepreneur and demonstrate high skill with relationships and the key competencies required to be a successful Financial Advisor. Lincoln Investment is seeking an experienced Financial Advisor in Lehigh Valley.
ExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Facilitate compliance with broker-dealer and investment advisor marketing materials, and also related agent requests for advertising, speaking engagements, and Cash/Non-Cash compensation, to ensure compliance with related regulations including Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and State Securities and Insurance laws.
$105,000 - $113,000 a yearExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Experience with responsibilities in an RIA and/or Broker Dealer. Knowledge of back-office operations of a financial advisory firm. 2+ years’ of experience in the financial advisory services industry.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Establishing and nurturing relationships with clients and key influencers within broker-dealer networks. - Strong understanding of the investment industry, particularly in the RIA fee-based/advisory business.
RemoteExpandUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Ideal candidate will have 10+ years of experience in a role within a broker/dealer and/or recordkeeping provider. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.
$140,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday
broker dealer advisory jobs
FEATURED BLOG POSTS
How To Decorate a Cubicle for Inspiration & Productivity
You know the negative reputation cubicles have – dull, dreary, gray. How can you possibly be expected to sit in one every day and be your naturally productive, enthusiastic, and upbeat self? The answer lies in decorating your cubicle so it sparks creativity and feels welcoming. While this might seem impossible given the bland canvas you have to work with, take heart because it’s totally doable!
How do Employers Verify Education?
At any stage in your professional journey, you may come across an employer or a recruiter who asks to verify your educational credentials. This shouldn’t come as a surprise as 30% of candidates admitted to lying on their resumes, yet 79% of them never get caught. In fact, 85% of employers in the US who conduct background checks find that candidates have lied on their resumes or job applications.
How to Be More Articulate and Speak More Clearly
Have you ever had those moments when you're talking to someone and have no idea what they are saying? The best response you can muster up is a simple head nod or blind agreeance?
How to Ask for a Higher Starting Salary
Maybe you think you’ve finally found your dream job. Everything about it is perfect, except… the salary. Unfortunately, it just isn’t where you want it to be. So, should you give up and move on? Given all the effort you’ve already invested, it’s probably wise to try and negotiate a better salary before you do.
How to Pass a Personality Test with Flying Colors
Whether you’re applying for your first job or looking to move up the career ladder, personality tests aren’t usually the first thing we think about. But surprisingly, they can have a massive impact on how our future employers perceive us. In fact, a 2017 study by the Society for Human Resource Management (SHRM) has found that 32% of U.S. employers use personality tests when hiring for senior management positions, and 28% use them for middle management positions. Personality tests are also used for hourly workers and contractors, though less frequently.
10 Practical and Effective Strategies to Persuade Anyone of Anything
Learning how to persuade people is like a key that can unlock any door. Acing the interview for the job of your dreams. Getting the best deal on a new car. Closing a sale with a skeptical customer. All of these wins require a level of persuasiveness.