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Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element continuing education, electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Our software platform enables retirement savers to get the help they need managing their 401(k) and other retirement plan accounts as part of a personalized strategy by their trusted financial advisor.
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The position reports to Net at Work’s director of sales and works very closely with the Acumatica practice team including the practice director, sales engineers, consulting managers, and functional consultants.
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Park Avenue Securities is Guardian's broker-dealer and corporate Registered Investment Advisor (RIA), which offers clients an expanded suite of products and solutions to help them achieve financial well-being.
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Series 7, 63/65 or 66 or equivalent; must obtain all state registrations in support of Financial Advisor(s) and Advisor Team(s). The position may be filled at a Specialist or Senior level depending on the experience of the candidate and the needs of the Financial Advisor Team. The position requires the individual to hold a Series 7 and 66 (or 63 & 65) licenses.
ExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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The MMSD Advisor Practice Management Consultant is responsible for the creation and delivery of CE programs, financial planning software education and practice management thought leadership to financial professionals.
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Deliver consistent messaging related to operational policies and procedures to support financial advisor, back office, investor, and internal sales inquiries ensuring service excellence.
$90,000 - $125,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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You will be a key advisor to senior leaders within the Sales, Marketing, and Customer Success teams, providing expertise in areas such as leadership coaching, compensation, talent management, organizational development, employee engagement, and performance management.
$140,000 - $157,500 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Benefit-eligible management positions and career tracks to Financial Advisor, Wealth Management and Retirement Planning. The Bankers Life Team comes from a variety of backgrounds including, but not limited to, sales, athletics, military, client services, or client-facing roles.
$40,000 a yearRemoteExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
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We're a recognized Elite Agency award winner and a leading property and casualty broker, benefits consultant, wealth manager, and retirement plan advisor. Prepare additional financial analysis that may include IBNR valuations, employee contribution analysis, stop-loss sensitivity analysis, and any ad-hoc analysis.
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Partner with Private Banker and Financial Advisor/Private Wealth Advisor to support the Firm's goal of providing private banking products to Ultra High Net Worth clients and/or prospects.
$175,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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We encourage pursuit of professional designations including CERTIFIED FINANCIAL PLANNER™ (CFP®) Professional and Chartered Financial Consultant (ChFC). Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor.
$546 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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This role is at the center of the MA client services model delivering an integrated Wealth Management, financial planning, and Insurance offering by providing day-to-day account management, financial needs analysis, direct sales of wealth management solutions and complex annuity and insurance solutions for clients and their businesses.
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Minimum of 3-5 years of experience as a Financial Advisor- Proven track record of success in building and managing client relationships, achieving sales targets, and delivering exceptional service.
Starting at $200,000 - $500,000 a yearExpandApply NowActive JobUpdated 9 days ago
financial sales advisor jobs in Brooklyn, NY
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