chief compliance officer - ria (registered investment advisor) Jobs - 366


Edward Jones - Lancaster,NY

Job Overview If you find yourself at a professional crossroads, a career as a financial advisor may be the right change for you. Financial advisors partner with clients to help them achieve their long-term financial goals:...

Date : 2025-01-01T08:13:15Z

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Edward Jones - Potsdam,NY

Job Overview If you find yourself at a professional crossroads, a career as a financial advisor may be the right change for you. Financial advisors partner with clients to help them achieve their long-term financial goals:...

Date : 2025-01-01T06:36:12Z

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Charles Schwab - White Plains,NY

Position Type: Regular Your opportunity ...

Date : 2025-01-04T15:02:21Z

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Santander Holdings USA - Staten Island,NY

Financial Advisor - Centralized, Staten Island, NY Staten Island, United States of America The Financial Advisor...

Date : 2025-01-04T17:31:40Z

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Citizens Bank - Tarrytown,NY

Description The Compliance Team Lead will have responsibilities within the compliance program for the Citizens Private Wealth segment of Citizens Wealth Management, including its registered investment advisor, broker-dealer and trust...

Date : 2025-01-02T08:13:24Z

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CitiStaffing - New York,NY

Executive Assistant in Investor Relations Investment Management Firm has an exciting opportunity for someone who thrives in a fast-paced environment to be an Executive Assistant!

Date : 2025-01-03T14:25:54Z

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University of Buffalo - Buffalo,NY

Fiscal Year 2024-2025 Position Title Unit Business Officer, CIO Classification Title Senior Staff Associate Department CIO Finance Posting Number P240402 Posting Link Employer State Position Type Professional Appointment Term Term Salary Grade...

Date : 2025-01-03T08:21:39Z

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Northwestern Mutual - New York,NY

Becoming a financial advisor at Northwestern Mutual is a unique opportunity to start a business where you can help your clients achieve their goals through financial planning. As a financial advisor, you will: Grow your client base by...

Date : 2025-01-03T14:24:56Z

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Capital One - New York,NY

NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.

Date : 2025-01-08T07:10:49Z

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American International Group - New York,NY

Position Summary: AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers The Investments Compliance team provides compliance and...

Date : 2025-01-02T08:12:43Z

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