- Truist (Hunt Valley, MD)
- …retail brokerage with an emphasis in operations, management and supervision . 3. Bachelor's degree in business, accounting, finance, banking or equivalent ... PA Hunt Valley, MD Columbia, MD Rockville, MD Responsible for the supervision of Client Service Associates, including their sales support processes and activities.… more
- Truist (Charlotte, NC)
- …acceptance or mitigation of the identified risks through day-to-day review of brokerage account transactions. 2. Lead a team of Regional Supervisors responsible for ... the program requirements (Ie: Risk control self-assessments, issues management, trade supervision and annuity review). 3. Assist business line leadership with… more
- Citigroup (New York, NY)
- …for clients. The overall objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital for clients. ... Build a culture of responsible finance, good governance and supervision , expense discipline and ethics + Appropriately assess risk/reward...to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized training or certification ... clients of the company by combining the traditional roles of the Financial Advisor and Service Associate. Fosters and assists in the development of relationships… more
- The Salvation Army (Syracuse, NY)
- Overview Neighborhood Advisor , Case Management Full-Time, Hourly, Non-Exempt with Health Benefit Package 749 South Warren Street, The Salvation Army of the Syracuse ... Area Adult Day Program for Senior Services Position Overview: The Neighborhood Advisor is tasked with providing Outreach case management and housing crisis… more
- Thrivent Financial (Rochester, MN)
- …well-established, high-performing Emerald Financial team is seeking a Client Service Advisor to service and maintain our current highly valued client relationships. ... building rapport with clients over time + Work independently with minimal supervision servicing and maintaining strong relationships with existing clients + Update… more
- Thrivent Financial (Rochester, MN)
- …established, high performing team is currently looking for a Client Service Advisor . This position provides support to Emerald Financial Groups existing client base. ... governing the financial advisory profession + Work independently with minimal supervision servicing and maintaining strong relationships with existing clients +… more
- Fifth Third Bank, NA (Cleveland, OH)
- …Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer ... securities and / or insurance transactions for the broker-dealer, investment advisor and insurance agency. + Determines whether transactions are in conformance… more
- Federal Reserve System (Dallas, TX)
- …or related field. + Minimum of seven years of relevant experience in banking, brokerage and financial services, or banking supervision . + Strong knowledge of ... will also be responsible for assessing markets and securities compliance for the brokerage and investment advisory operations. In this role you will lead and… more
- AON (New York, NY)
- …selection through policy delivery to client. + With minimal guidance and supervision , identifies and analyzes client exposures and determines which markets to ... of the client facing team, acting as a trusted advisor to the client in broking, designing, selling and...decisions. + Minimum of 2+ years of marine insurance brokerage and/or underwriting experience and/or related experience. + Solid… more
- Truist (Richmond, VA)
- …abreast of observations, trends and policy oversights 5. Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned ... for review by the Central Supervision Group. 6. Review and approve Retail Communications, Seminars...Insurance Licensing** 3. 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in… more
- Capital One (New York, NY)
- …regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element ... of conduct + Advising and supporting Principals on their business decisions, supervision of persons or functions, and compliance with applicable rules + Providing… more
- MassMutual (Springfield, MA)
- …Our strategy includes growing and retaining our most successful and influential advisor population across the country and supporting them with an operational ... back-office review and firm-acceptance of new and existing submissions related to Brokerage , Direct and Third-Party Advisory accounts. + Review trading activity of… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... and procedures as necessary. + Provide technical/strategic direction and act as advisor /coach to junior engineers and operate with a limited level of direct… more
- Citigroup (Queens, NY)
- …the business. + Acts as a technical expert who acts as an advisor on significant business/product decisions + Implements policies and procedures. + Performs other ... as assigned. + Has the ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy. + Acts as SME to senior… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... well as conduct testing and debugging + Serve as advisor or coach to new or lower level analysts...ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy.… more
- OEC Group (Cerritos, CA)
- …to identify the needs of prospective clients and perform as a trusted advisor for their freight forwarding needs. Requirements: + Minimum 3 years' experience ... CargoWise One, is preferred. + Ability to work independently and with limited supervision . + Solid understanding of local territory and market opportunities. + High… more
- CBRE (Dallas, TX)
- …and/or industry. * Develops a reputation as an opinion leader and trusted advisor . * Drives innovation and thought leadership and effectively manages and leads team ... and develops innovative solutions. **CERTIFICATES and/or LICENSES** Real Estate sales, brokerage or appraisal license required as appropriate for business unit.… more
- Citigroup (Tampa, FL)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... help define operating standards and processes + Serve as advisor or coach to new or lower level analysts...ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy.… more