Financial Advisor Compliance Jobs

DWS Group - New York, NY, United States

as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. • Fluent in all FINRA and SEC issues and concerns. • Demonstrated expertise with financial services regulatory schemes

from: linkedin.com - 2 days ago

Blue Signal Search - , CT, United States

. This organization strives for excellence and integrity in all their interactions, maintaining the highest standards of compliance and professionalism. They are currently seeking a skilled Financial Advisor to join

from: linkedin.com - 2 days ago

Equitable Advisors - Secaucus, NJ, United States

powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial

from: linkedin.com - Yesterday

PeopleSolutionsNOW - Allentown, PA, United States

insurance and investment planning for individuals and businesses. We implement holistic financial solutions designed by a team of advisors embodying integrity, proactivity, and fellowship with an emphasis

from: linkedin.com - 2 days ago

Equitable Advisors - , UT, United States

, managers and executive leadership · Leadership development school · Equitable Advisors' virtual university · Leadership meetings Responsibilities · Recruiting and selecting new financial sales professionals

from: linkedin.com - 2 days ago

Equitable Advisors - Secaucus, NJ, United States

powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial

from: linkedin.com - 3 days ago

Mitlin Financial, Inc® - , NY, United States

model to help clients meet their financial objectives Collaborative working environment with stakeholders including compliance Participate in firm meetings, training, and client events Maintain

from: linkedin.com - 4 days ago

Carolina Theatre of Durham - Durham, NC, United States

. Ensure that the CEO and the Board are aware of all relevant financial topics and risks. Together with external advisor, manage investment portfolio and ensure compliance with Board approved Investment

from: linkedin.com - 5 days ago

World Choice Investments, LLC dba: Dolly Parton's Stampede & Pirates Voyage - , TN, United States

, be involved in strategic initiatives and take a broader view of the business Manage all aspects of financial management, including treasury and cash management, and coordination with external financial advisors

from: linkedin.com - 5 days ago

MP: Wired for HR - Wakefield, MA, United States

design, compliance, pricing, service provider due diligence, and financial wellness. Non-qualified and defined benefit plan experience as it relates to cash balance plans and traditional pension plans

from: linkedin.com - 5 days ago