2,843 Investment Advisory jobs in the United States

Investment Advisory Specialist II

08534 Pennington, New Jersey Bank of America

Posted 8 days ago

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Investment Advisory Specialist II
Pennington, New Jersey
**To proceed with your application, you must be at least 18 years of age.**
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At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.
Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.
Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.
At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!
**Job Description:**
This job is responsible for partnering with field leadership and financial advisors to grow the Investment Advisory Platform by helping to align IAP solutions to client goals. Key responsibilities include interacting with other Investment Solutions Group teams to produce solutions for advisors and territories. Job expectations include driving responsible growth by guiding advisors with researched investment opportunities and collaborating with other senior investment advisory specialists to develop strategic initiatives.
The Investment Advisory Specialist (IAS) will support Financial Advisors and Wealth Management Specialists on all Merrill Lynch Managed Assets platforms in order to drive utilization of Managed Asset platforms.
The Investment Advisory Specialist provides advice and guidance to Financial Advisors, Client Associates and Advisory Leadership to help identify appropriate and suitable IAP (platforms/strategies) for the Firm's clients. Advice and guidance is informed by our Chief Investment Office around portfolio construction, investment/manager selection, asset allocation and best practices for integrating our managed asset platform into various financial advisor business models.
The Merrill Lynch Investment Advisory Program (IAP) combines the advice and guidance of an Advisor with investment services backed by the research and insights of Merrill Lynch in a single solution designed to help clients pursue meaningful outcomes
**Responsibilities:**
+ Leads proactive field facing activities and primary driver of initiative-based flows and advisor engagements
+ Owns sales responsibilities, tactics, execution and advisory leadership engagements within respective territory
+ Takes initiative and demonstrate leadership in advancing business and strategic initiatives
+ Sets example by mentoring colleagues
+ Drives cross ISG collaboration efforts
+ Focuses on proactively supporting the advisors in their respective markets to drive sales growth through in person, virtual and phone interactions. Thinks independently, develops and executes strategies to achieve their growth goals for their respective territories.
+ Partners with their coverage team potentially consisting of an internal partner and other specialists with the Investment Solutions Group to collaborate and bring holistic advice and guidance to their advisors.
+ Records all relevant activities in Salesforce.com, a client relationship management tool, in order to provide the data necessary to manage activity from a metrics driven perspective.
+ The role requires one week of travel per month and the remainder of the month will be based in Hopewell, NJ.
**Required Qualifications:**
+ 8+ years experience in financial services industry
+ Ability to work under pressure, meet deadlines and meet clearly defined measurements
+ Strong communication, interaction and presentation skills
+ Willing to travel on a monthly basis to meet with advisors in person
+ Self-motivated, adaptive, positive attitude and high energy
+ Must display a passion for achieving aggressive goals in innovative and highly professional way
+ SIE, Series 7 and 63/65 or 66 preferred at time of hire, or must be able to obtain within 120 days of start date
**Desired Qualifications:**
+ Bachelor's degree
+ 8+ years sales experience
+ Knowledge of professionally managed investment products and/or investment advisory business
**Skills:**
+ Active Listening
+ Advisory
+ Investment Management
+ Presentation Skills
+ Sales Strategy
+ Pipeline Management
+ Portfolio Analysis
+ Problem Solving
+ Strategy Planning and Development
+ Wealth Planning
**Shift:**
1st shift (United States of America)
**Hours Per Week:**
40
Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.
To view the "Know your Rights" poster, CLICK HERE ( .
View the LA County Fair Chance Ordinance ( .
Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy ("Policy") establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.
Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. Should you be offered a role with Bank of America, your hiring manager will provide you with information on the in-office expectations associated with your role. These expectations are subject to change at any time and at the sole discretion of the Company. To the extent you have a disability or sincerely held religious belief for which you believe you need a reasonable accommodation from this requirement, you must seek an accommodation through the Bank's required accommodation request process before your first day of work.
This communication provides information about certain Bank of America benefits. Receipt of this document does not automatically entitle you to benefits offered by Bank of America. Every effort has been made to ensure the accuracy of this communication. However, if there are discrepancies between this communication and the official plan documents, the plan documents will always govern. Bank of America retains the discretion to interpret the terms or language used in any of its communications according to the provisions contained in the plan documents. Bank of America also reserves the right to amend or terminate any benefit plan in its sole discretion at any time for any reason.
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Senior Lead Compliance Officer - Investment Advisory

55400 Minneapolis, Minnesota Wells Fargo

Posted today

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Job Description

About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management Compliance to focus on SEC Registered Investment Advisory Programs and Products.

Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

  • Provide leadership and guidance to Wells Fargo Clearing Services Registered Investment Advisory program on various regulatory and policy requirements covering investments and product development.

  • Perform assessment and challenge the control environment covering investments and trading activities for discretionary accounts to help ensure adequately designed for regulatory compliance.

  • Provide oversight and monitoring of business group risk-based compliance programs

  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions

  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise

  • Work with complex business units, rules and regulations on moderate to high-risk compliance matters

  • Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management

  • Provide direction to the business on developing corrective action plans and effectively managing regulatory changes

  • Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines

  • Identify and recommend opportunities for process improvement and risk control development

  • Report findings and make recommendations to management or directors and appropriate committees

  • Make decisions and resolve issues to meet business objectives

  • Interpret policies, procedures, and compliance requirements

  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications, US:

  • 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Successfully completed Series 7 and 24

  • Advanced knowledge of the Investment Advisers Act of 1940 and related SEC and FINRA regulations.

  • Excellent written and verbal communication skills.

  • Demonstrated ability to help lead working group activities.

  • Strong knowledge of overseeing the activities of an Investment Advisory Programs including Trading with Affiliates and other fiduciary conflicts of interest.

Job Expectations:

  • This position offers a hybrid work schedule

  • This position is not eligible for VISA sponsorship

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$159,000.00 - $279,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs ( for an overview of the following benefit plans and programs offered to employees.

  • Health benefits

  • 401(k) Plan

  • Paid time off

  • Disability benefits

  • Life insurance, critical illness insurance, and accident insurance

  • Parental leave

  • Critical caregiving leave

  • Discounts and savings

  • Commuter benefits

  • Tuition reimbursement

  • Scholarships for dependent children

  • Adoption reimbursement

Posting End Date:

8 Oct 2025

*** Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo ( .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy ( to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Req Number: R-

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Compliance Sr. Manager, Investment Advisory Compliance

33747 Florida, Florida Raymond James Financial, Inc.

Posted 2 days ago

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Job Description

**Essential Duties and Responsibilities**
+ Oversees compliance exception reporting processes and approves corrective actions.
+ May coach, train, and mentor others Compliance associates.
+ May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
+ Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.
+ Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
+ Monitors and reviews all reporting, audits, and correspondence.
+ Partner with business units to recommend policy and process changes to Senior Management.
+ Ensures effective coordination occurs within assigned work group and with other work groups.
+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
+ Serves as a resource on compliance issues to clients and staff.
+ May serve as a compliance liaison on various committees and projects representing the interest of the department.
+ Attends and may deliver presentations at industry-related conferences.
+ Researches regulatory updates to identify linkages and trends and apply findings.
+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
+ Performs periodic reporting on compliance and operational issues as required.
+ Assists in preparing the operational budgets for assigned functional area.
+ Balances conflicting resource and priority demands.
+ Performs other duties and responsibilities as assigned.
+ Maintains department specific intranet information
+ Assists with distribution of field facing and internal update communications
**Knowledge, Skills, and Abilities**
**Advanced knowledge of:**
+ Concepts, practices, and procedures of securities industry and/or banking compliance.
+ Rules and regulations of: Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment; Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.
+ Investment concepts, practices and procedures used in the securities industry.
+ Principles of banking and finance and securities industry operations.
+ Financial markets and products.
**Advanced skill in:**
+ Administering regulatory notification and filings.
+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.
+ Identifying and applying appropriate compliance monitoring procedures and tests.
+ Preparing oral and/or written reports.
+ Investigating compliances issues and irregularities.
+ Making rule-based and analytical decisions.
+ Strong verbal and written communication.
+ Operating standard office equipment and using required software applications.
**Ability to:**
+ Coach and mentor others.
+ Partner with other functional areas to accomplish objectives.
+ Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
+ Attend to detail while maintaining a big picture orientation.
+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
+ Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
+ Work independently as well as collaboratively within a team environment.
+ Establish and maintain effective working relationships at all levels of the organization.
+ Maintain confidentiality.
+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
+ Interpret and apply policies and identify and recommend changes as appropriate.
+ Quantitatively and/or qualitatively process data.
+ Formulate and implement department strategies consistent with long-term company goals.
+ Promote team cohesiveness, cooperation, and effectiveness.
**Educational/Previous Experience Requirements**
+ Bachelor's degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.
~or~
+ Any equivalent combination of experience, education, and/or training approved by Human Resources.
**Licenses/Certifications**
+ None Required.
+ Series 65, 66, or equivalent preferred
+ Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
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Compliance Sr. Manager, Investment Advisory Compliance

38111 Memphis, Tennessee Raymond James Financial, Inc.

Posted 16 days ago

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Job Description

**Essential Duties and Responsibilities**
+ Oversees compliance exception reporting processes and approves corrective actions.
+ May coach, train, and mentor others Compliance associates.
+ May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
+ Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.
+ Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
+ Monitors and reviews all reporting, audits, and correspondence.
+ Partner with business units to recommend policy and process changes to Senior Management.
+ Ensures effective coordination occurs within assigned work group and with other work groups.
+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
+ Serves as a resource on compliance issues to clients and staff.
+ May serve as a compliance liaison on various committees and projects representing the interest of the department.
+ Attends and may deliver presentations at industry-related conferences.
+ Researches regulatory updates to identify linkages and trends and apply findings.
+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
+ Performs periodic reporting on compliance and operational issues as required.
+ Assists in preparing the operational budgets for assigned functional area.
+ Balances conflicting resource and priority demands.
+ Performs other duties and responsibilities as assigned.
+ Maintains department specific intranet information
+ Assists with distribution of field facing and internal update communications
**Knowledge, Skills, and Abilities**
**Advanced knowledge of:**
+ Concepts, practices, and procedures of securities industry and/or banking compliance.
+ Rules and regulations of: Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment; Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.
+ Investment concepts, practices and procedures used in the securities industry.
+ Principles of banking and finance and securities industry operations.
+ Financial markets and products.
**Advanced skill in:**
+ Administering regulatory notification and filings.
+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.
+ Identifying and applying appropriate compliance monitoring procedures and tests.
+ Preparing oral and/or written reports.
+ Investigating compliances issues and irregularities.
+ Making rule-based and analytical decisions.
+ Strong verbal and written communication.
+ Operating standard office equipment and using required software applications.
**Ability to:**
+ Coach and mentor others.
+ Partner with other functional areas to accomplish objectives.
+ Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
+ Attend to detail while maintaining a big picture orientation.
+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
+ Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
+ Work independently as well as collaboratively within a team environment.
+ Establish and maintain effective working relationships at all levels of the organization.
+ Maintain confidentiality.
+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
+ Interpret and apply policies and identify and recommend changes as appropriate.
+ Quantitatively and/or qualitatively process data.
+ Formulate and implement department strategies consistent with long-term company goals.
+ Promote team cohesiveness, cooperation, and effectiveness.
**Educational/Previous Experience Requirements**
+ Bachelor's degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.
~or~
+ Any equivalent combination of experience, education, and/or training approved by Human Resources.
**Licenses/Certifications**
+ None Required.
+ Series 65, 66, or equivalent preferred
+ Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
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Wealth Management Investment Consultant, Advisory Services

97080 Gresham, Oregon U.S. Bank

Posted 15 days ago

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Job Description

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
The Investment Consultant role provides advanced investment education and advice as it works with clients who typically have between $25,000 and, up to, $50,000 in investable assets who may require multiple financial product offerings. The Investment Consultant will have access to a full product suite and a light Financial Planning tool, while it works with existing clients within a defined service model and with internal partners to make prospect introductions to uncover investment opportunities. The Investment Consultant works by appointment and handles the financial discovery process for internal team partners and makes referrals when appropriate, which is a key performance measure of the role.
The Investment Consultant uses strong analytical skills to assess client needs and works to develop personalized financial relationships with a variety of clients with diverse financial needs that will result in repeat conversations and new or expanding financial services, assets, and opportunities. Candidates will also possess strong communication and time management skills as they balance helping clients with financial needs as well as working with partners to increase referral quality and volume in their assigned territory. The Investment Consultant works well with peers, providing and soliciting feedback from others to improve the client experience as well as to develop long-term client relationships in a team-based model. The Investment Consultant will also be expected to complete required Annual Reviews for clients in their assigned region.
Basic Qualifications
- A bachelor's degree, background in financial services, investments, or equivalent work experience
- A minimum of one to two years of job-related experience in a financial sales position are preferred.
- FINRA Series 7 along with either Series 63 and 65 or Series 66, but partially licensed applicants may be considered.
Preferred Skills
- Fluency in a second language, applicable state insurance licenses are desired.
__ - Applicable state licenses - CRPC, CFP designations
- Demonstrated sales and marketing abilities
- Strong analytical skills to assess client needs
- Proficient computer navigation skills using a variety of software packages including Microsoft Office
- Ability to manage multiple tasks/projects and deadlines simultaneously
- Well-developed analytical and problem-solving skills
- Excellent interpersonal, verbal and written communication skills
- Past experience with salesforce and MoneyGuide pro
- A passion for building relationships with clients
- Partially licensed candidates will be considered. Life, Accident & Health, LTC, and Annuity licenses required at, or within 6 months, of hiring.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: 71,400.00 - 84,000.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
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Wealth Management Investment Consultant, Advisory Services

97080 Gresham, Oregon U.S. Bank

Posted 15 days ago

Job Viewed

Tap Again To Close

Job Description

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
Provides personalized customer facing financial consulting and advising services though telephone conversations. Receives and proactively contacts and profiles customer/prospects to understand their financial goals, objectives, and current financial position. Reviews each customer/prospect's financial situation to recommend financial products that meet their objectives, risk tolerance, tax exposure, and the like. Using expertise and knowledge of the securities industry and markets, analyzes and interprets customer/prospect's investment objectives considering various factors, and provides customized and individualized investment advice suited to those objectives while complying with all pertinent laws, regulations, and corporate policies.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- At least six months of financial services, investments, or related experience
- One to two years of job-related experience in a financial sales position
- FINRA licenses: Series 7, 63 and 65 OR Series 7 and 66
Preferred Skills/Experience
- Applicable state licenses
- CRPC, CFP designations
- Thorough understanding of residential mortgage banking, credit analysis and approval techniques, and consumer lending policies and procedures
- Demonstrated sales and marketing abilities
- Strong analytical skills to assess client needs
- Proficient computer navigation skills using a variety of software packages including Microsoft Office
- Ability to manage multiple tasks/projects and deadlines simultaneously
- Well-developed analytical and problem-solving skills
- Excellent interpersonal, verbal and written communication skills
- Past experience with salesforce and MoneyGuide pro
- A passion for building relationships with clients
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $64,855.00 - $76,300.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
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Wealth Management Investment Consultant, Advisory Services

55145 Saint Paul, Minnesota U.S. Bank

Posted 16 days ago

Job Viewed

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Job Description

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
Provides personalized customer facing financial consulting and advising services though telephone conversations. Receives and proactively contacts and profiles customer/prospects to understand their financial goals, objectives, and current financial position. Reviews each customer/prospect's financial situation to recommend financial products that meet their objectives, risk tolerance, tax exposure, and the like. Using expertise and knowledge of the securities industry and markets, analyzes and interprets customer/prospect's investment objectives considering various factors, and provides customized and individualized investment advice suited to those objectives while complying with all pertinent laws, regulations, and corporate policies.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- At least six months of financial services, investments, or related experience
- One to two years of job-related experience in a financial sales position
- FINRA licenses: Series 7, 63 and 65 OR Series 7 and 66
Preferred Skills/Experience
- Applicable state licenses
- CRPC, CFP designations
- Thorough understanding of residential mortgage banking, credit analysis and approval techniques, and consumer lending policies and procedures
- Demonstrated sales and marketing abilities
- Strong analytical skills to assess client needs
- Proficient computer navigation skills using a variety of software packages including Microsoft Office
- Ability to manage multiple tasks/projects and deadlines simultaneously
- Well-developed analytical and problem-solving skills
- Excellent interpersonal, verbal and written communication skills
- Past experience with salesforce and MoneyGuide pro
- A passion for building relationships with clients
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $64,855.00 - $76,300.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
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Financial Planning Associate

41015 Cynthiana, Kentucky Fidelity Investments

Posted today

Job Viewed

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Job Description

Job Description: Is it time to make new investments into your career?

Join a team that's an industry leader in innovation and invests in you with key product and service offerings, groundbreaking technology, and a premier investment platform. We empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Your desire to grow and learn within the industry will open the door to a career path full of professional rewards.

We believe your natural resourcefulness unlocks new opportunities and your communication skill opens participants' minds. We know you will inspire client dedication and engagement to develop long-lasting positive relationships with Fidelity.

What to expect

As part of the Workplace Planning and Advice outbound and inbound call team, you will start your journey in our multi-stage development to career planning and advice.

  • You will connect with our participants to build effective relationships through calling and engaging warm leads. Guide our inactive and active 401(k) participants through all their available options while introducing them to our services.

  • You will learn and develop expertise in assisting 401(k) participants with general service needs and withdrawal requests in an inbound capacity, providing timely and accurate support to meet our participants needs.

  • As you gain relationship building and industry expertise, you'll advance to taking consultative inbound calls from 401(k) participants helping them with their retirement and investment needs.

You are learning. We provide all the training you need to develop the skills needed to service our participants and study for your FINRA licensing exams! You don't need a finance background or college degree to succeed in this role. Prepped with our licensing roadmap, own your success by studying for the exams at an individualized pace with dedication and commitment.

You will be supported in learning the business and building skills in Fidelity's Relationship Model, our planning culture and how to best leverage technology to help our clients. Our top-quality training resources will ensure you have all the answers you need to provide participants with the best guidance - and to get the results you are striving toward.

You are celebrated . Your achievements will be recognized and celebrated as you progress through your career. Our inclusive culture empowers associates to achieve success while building a supportive network.

You are growing. From day one you'll have the support and structure to plan for your future at Fidelity. The career coaching you will receive will help you understand the array of career opportunities at Fidelity and chart a course to help you grow in a personalized career path.

You can explore. You'll experience variety in your work with dedicated time for development activities that go beyond answering participant calls so you can discover advanced planning roles to further your career.

The Skills You Bring
  • Outstanding client relationship experience as well as an understanding of a sales process, including calling and working with warm leads

  • Knowledge or experience in sales or the consultative relationship process

  • Demonstrate accountability and a goal-oriented mindset

  • Natural and demonstrated success in asking deeper questions to fully understand the client's situation

  • Ability and flexibility to work in a "hybrid" work setting, both at home and in office

  • Comfortable with technology and ability to navigate multiple systems simultaneously

  • Aptitude to complete FINRA SIE, Series 7 and Series 66 upon hire

The Value You Deliver
  • Learn book-management skills and effectively handle leads while utilizing tools i.e. Salesforce

  • Build rapport and open a conversation with Fidelity participants through profiling and utilizing consultative skills during participant interactions

  • Introduce 401(k) participants to business partners to have appropriate Investment Solutions conversations

  • Set up targeted appointments while identifying opportunities to address participant needs related to products and services

Our Investments in You

Our benefits programs are crafted to help you and your loved ones strike the perfect balance. Here are a few featured benefits (not all benefits are listed): Maternal and Parental Leave, Tuition Reimbursement, Student Loan Assistance, 401(K) 7% match, Health Insurance, Dental Insurance, Vision Insurance, Disability Insurance, Paid Time off, Backup Dependent Care, Charitable match, and Concierge Services.

Sound too good to be true? See for yourself and learn more about our benefits offerings:

  • Click to hear from a few of our associates about the outstanding benefits Fidelity offers: Benefits at Fidelity Investments (opens in a new tab)

  • Click here for a local news story about how we are helping our employee's payback their student loan debt (opens in a new tab)

Required Certifications: You will be given paid time and support to obtain SIE - FINRA, Series 07 - FINRA, Series 66

Certifications: Series 07 - FINRA, Series 66 - FINRA Category: Customer Service, Sales

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

View Now

Financial Planning Associate

80111 Centennial, Colorado Fidelity Investments

Posted today

Job Viewed

Tap Again To Close

Job Description

Job Description: Is it time to make new investments into your career?

Join a team that's an industry leader in innovation and invests in you with key product and service offerings, groundbreaking technology, and a premier investment platform. We empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Your desire to grow and learn within the industry will open the door to a career path full of professional rewards.

We believe your natural resourcefulness unlocks new opportunities and your communication skill opens participants' minds. We know you will inspire client dedication and engagement to develop long-lasting positive relationships with Fidelity.

What to expect

As part of the Workplace Planning and Advice outbound and inbound call team, you will start your journey in our multi-stage development to career planning and advice.

  • You will connect with our participants to build effective relationships through calling and engaging warm leads. Guide our inactive and active 401(k) participants through all their available options while introducing them to our services.

  • You will learn and develop expertise in assisting 401(k) participants with general service needs and withdrawal requests in an inbound capacity, providing timely and accurate support to meet our participants needs.

  • As you gain relationship building and industry expertise, you'll advance to taking consultative inbound calls from 401(k) participants helping them with their retirement and investment needs.

You are learning. We provide all the training you need to develop the skills needed to service our participants and study for your FINRA licensing exams! You don't need a finance background or college degree to succeed in this role. Prepped with our licensing roadmap, own your success by studying for the exams at an individualized pace with dedication and commitment.

You will be supported in learning the business and building skills in Fidelity's Relationship Model, our planning culture and how to best leverage technology to help our clients. Our top-quality training resources will ensure you have all the answers you need to provide participants with the best guidance - and to get the results you are striving toward.

You are celebrated . Your achievements will be recognized and celebrated as you progress through your career. Our inclusive culture empowers associates to achieve success while building a supportive network.

You are growing. From day one you'll have the support and structure to plan for your future at Fidelity. The career coaching you will receive will help you understand the array of career opportunities at Fidelity and chart a course to help you grow in a personalized career path.

You can explore. You'll experience variety in your work with dedicated time for development activities that go beyond answering participant calls so you can discover advanced planning roles to further your career.

The Skills You Bring
  • Outstanding client relationship experience as well as an understanding of a sales process, including calling and working with warm leads

  • Knowledge or experience in sales or the consultative relationship process

  • Demonstrate accountability and a goal-oriented mindset

  • Natural and demonstrated success in asking deeper questions to fully understand the client's situation

  • Ability and flexibility to work in a "hybrid" work setting, both at home and in office

  • Comfortable with technology and ability to navigate multiple systems simultaneously

  • Aptitude to complete FINRA SIE, Series 7 and Series 66 upon hire

The Value You Deliver
  • Learn book-management skills and effectively handle leads while utilizing tools i.e. Salesforce

  • Build rapport and open a conversation with Fidelity participants through profiling and utilizing consultative skills during participant interactions

  • Introduce 401(k) participants to business partners to have appropriate Investment Solutions conversations

  • Set up targeted appointments while identifying opportunities to address participant needs related to products and services

Our Investments in You

Our benefits programs are crafted to help you and your loved ones strike the perfect balance. Here are a few featured benefits (not all benefits are listed): Maternal and Parental Leave, Tuition Reimbursement, Student Loan Assistance, 401(K) 7% match, Health Insurance, Dental Insurance, Vision Insurance, Disability Insurance, Paid Time off, Backup Dependent Care, Charitable match, and Concierge Services.

Sound too good to be true? See for yourself and learn more about our benefits offerings:

  • Click to hear from a few of our associates about the outstanding benefits Fidelity offers: Benefits at Fidelity Investments (opens in a new tab)

  • Click here for a local news story about how we are helping our employee's payback their student loan debt (opens in a new tab)

Required Certifications: You will be given paid time and support to obtain SIE - FINRA, Series 07 - FINRA, Series 66

The base salary range for this position is $45,000 - $60,000 per year.

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.


We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

Certifications: Series 07 - FINRA, Series 66 - FINRA Category: Customer Service, Sales
View Now

Financial Planning Associate

02917 Smithfield, Rhode Island Fidelity Investments

Posted today

Job Viewed

Tap Again To Close

Job Description

Job Description: Is it time to make new investments into your career?

Join a team that's an industry leader in innovation and invests in you with key product and service offerings, groundbreaking technology, and a premier investment platform. We empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Your desire to grow and learn within the industry will open the door to a career path full of professional rewards.

We believe your natural resourcefulness unlocks new opportunities and your communication skill opens participants' minds. We know you will inspire client dedication and engagement to develop long-lasting positive relationships with Fidelity.

What to expect

As part of the Workplace Planning and Advice outbound and inbound call team, you will start your journey in our multi-stage development to career planning and advice.

  • You will connect with our participants to build effective relationships through calling and engaging warm leads. Guide our inactive and active 401(k) participants through all their available options while introducing them to our services.

  • You will learn and develop expertise in assisting 401(k) participants with general service needs and withdrawal requests in an inbound capacity, providing timely and accurate support to meet our participants needs.

  • As you gain relationship building and industry expertise, you'll advance to taking consultative inbound calls from 401(k) participants helping them with their retirement and investment needs.

You are learning. We provide all the training you need to develop the skills needed to service our participants and study for your FINRA licensing exams! You don't need a finance background or college degree to succeed in this role. Prepped with our licensing roadmap, own your success by studying for the exams at an individualized pace with dedication and commitment.

You will be supported in learning the business and building skills in Fidelity's Relationship Model, our planning culture and how to best leverage technology to help our clients. Our top-quality training resources will ensure you have all the answers you need to provide participants with the best guidance - and to get the results you are striving toward.

You are celebrated . Your achievements will be recognized and celebrated as you progress through your career. Our inclusive culture empowers associates to achieve success while building a supportive network.

You are growing. From day one you'll have the support and structure to plan for your future at Fidelity. The career coaching you will receive will help you understand the array of career opportunities at Fidelity and chart a course to help you grow in a personalized career path.

You can explore. You'll experience variety in your work with dedicated time for development activities that go beyond answering participant calls so you can discover advanced planning roles to further your career.

The Skills You Bring
  • Outstanding client relationship experience as well as an understanding of a sales process, including calling and working with warm leads

  • Knowledge or experience in sales or the consultative relationship process

  • Demonstrate accountability and a goal-oriented mindset

  • Natural and demonstrated success in asking deeper questions to fully understand the client's situation

  • Ability and flexibility to work in a "hybrid" work setting, both at home and in office

  • Comfortable with technology and ability to navigate multiple systems simultaneously

  • Aptitude to complete FINRA SIE, Series 7 and Series 66 upon hire

The Value You Deliver
  • Learn book-management skills and effectively handle leads while utilizing tools i.e. Salesforce

  • Build rapport and open a conversation with Fidelity participants through profiling and utilizing consultative skills during participant interactions

  • Introduce 401(k) participants to business partners to have appropriate Investment Solutions conversations

  • Set up targeted appointments while identifying opportunities to address participant needs related to products and services

Our Investments in You

Our benefits programs are crafted to help you and your loved ones strike the perfect balance. Here are a few featured benefits (not all benefits are listed): Maternal and Parental Leave, Tuition Reimbursement, Student Loan Assistance, 401(K) 7% match, Health Insurance, Dental Insurance, Vision Insurance, Disability Insurance, Paid Time off, Backup Dependent Care, Charitable match, and Concierge Services.

Sound too good to be true? See for yourself and learn more about our benefits offerings:

  • Click to hear from a few of our associates about the outstanding benefits Fidelity offers: Benefits at Fidelity Investments (opens in a new tab)

  • Click here for a local news story about how we are helping our employee's payback their student loan debt (opens in a new tab)

Required Certifications: You will be given paid time and support to obtain SIE - FINRA, Series 07 - FINRA, Series 66

Certifications: Series 07 - FINRA, Series 66 - FINRA Category: Customer Service, Sales

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

View Now
 

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