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We are seeking a candidate with entry-level experience within a wealth management intermediary (e.g. broker/dealer, Registered Investment Advisor (RIA), turnkey asset management program (TAMP), custodian) or within a financial advisor practice, an organization serving or supporting financial advisors, a wealth management technology vendor, or at a technology consulting organization.
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Requirements Investment Banking, Capital Raising, Angel Investing, Broker-Dealer, Corporate Finance, Capital Markets, Equity Capital Markets, Financial Services, Private Equity, Private Equity Funding, Private Equity Firms, Management Consulting, Venture Capital, Transaction Advisory, Transaction Advisory Services, Mergers & Acquisitions, Due Diligence, Private Placements, Growth Capital, Seed Capital.
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Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Minimum of 5 years of broker dealer compliance experience with at least 2 years of experience reviewing/approving broker dealer marketing materials.
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This high-profile group works across all of Investment Management as well as with our other internal stakeholders including product, actuarial, treasury, accounting, risk, compliance, and external partners, including our primary asset management subsidiary Barings and the major Wall Street derivative broker/dealer counterparties.
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Certified Financial Planner (CFP), Certified Trust & Financial Advisor (CTFA), Certified Public Accountant (CPA) and/or Chartered Financial Analyst (CFA) certification. Work closely with management to ensure Client Service and Wealth Advisor staff have an effective client service and sales enablement partnership and deliver an excellent client experience.
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Strong understanding of portfolio management and ALM in a life insurance companyDeep knowledge of derivatives in all dimensions – risk, economics, tax, accountingAdvanced quantitative degree (MFE, PhD)Proven ability to develop market views, take market risk and be accountable to the profit/loss– Strong background/understanding of capital markets and financial instruments.
$137,800 - $180,800Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Solid understanding of broker/dealer/investment advisor regulatory requirements. 10 years of experience reviewing and approving Investment Advisor/Broker Dealer marketing materials.
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Experience designing and implementing event driven systems leveraging message broker, event bus and streaming technologies like IBM Message Broker/MQ, IBM IIB, AWS Managed Kafka, Confluent connectors etc.
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The Racial Justice and Decoloniality Advisor is an internally facing organizational role that will lead the Oxfam America Racial Equity Advisory Committee (REAC) and oversee the implementation of its Anti-Racism & Decoloniality Road Map.
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Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program for the Outsourced Trading Line of Business within the firm's registered broker-dealer, BNY Mellon Capital Markets, LLC.
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Responsibilities: As a college advisor, you will help the student navigate the Common App, provide consistent and supportive advising, build school lists that reflect the student's goals and interests, and prepare the student for interviews, among other duties.
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Act as a liaison between caseworkers, program participants, and the landlord, property manager, or broker during the housing identification process which includes but is not limited to the application assistance, inspections, coordinate prospective tenant viewings, and facilitating leasing appointments.
$23.48 an hourFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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3+ years compliance background with a broker-dealer, mutual fund, or ETF business with 1+ years advertising review experience. At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being.
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Cyber Resilience Advisor (CRA) While most of the team are fully remote, when you do visit, our North American HQ is based in the center of Boston, just a 10 minute walk from Back Bay train station.
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MUSLIM SPIRITUAL ADVISOR (“Chaplain”) at NORTHEASTERN UNIVERSITY, Northeastern University is seeking a part-time Muslim Spiritual Advisor to work in a collaborative team serving the University’s large, diverse, and dynamic Muslim community.
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financial advisor broker dealer jobs in Quincy, MA
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