3,691 Investment Advisory jobs in the United States
Internal Investment Advisory Specialist
08534 Pennington, New Jersey
Bank of America
Posted 1 day ago
Job Viewed
Job Description
Internal Investment Advisory Specialist
Pennington, New Jersey;Jersey City, New Jersey
**To proceed with your application, you must be at least 18 years of age.**
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Refer a friend
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge ( Description:**
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:**
The Internal Investment Advisory Specialist (IIAS) 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 Internal 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.
**Job Responsibilities:**
+ Focuses on proactively supporting the advisors in their respective markets to drive sales growth through virtual and phone interactions. Thinks independently, develops and executes strategies to achieve growth goals for respective territories.
+ Partners with coverage team potentially consisting of a specialist partner and other specialists with the Investment Solutions Group to collaborate and bring holistic advice and guidance to advisors.
+ Records all of 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.
**Required Qualifications:**
+ 2-5+ years experience in financial services industry
+ Ability to work under pressure, meet deadlines and meet clearly defined measurements
+ Strong communication, interaction and presentation skills
+ Self-motivated, adaptive, positive attitude and high energy
+ Must display a passion for achieving aggressive goals in innovative and highly professional way
+ 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:**
+ 2-5+ years sales experience
+ Bachelor's degree
+ Knowledge of professionally managed investment products and/or investment advisory business
**Skills:**
+ Client Management
+ Client Solutions Advisory
+ Customer and Client Focus
+ Pipeline Management
+ Relationship Building
+ Collaboration
+ Presentation Skills
+ Prospecting
+ Referral Management
+ Wealth Planning
+ Referral Identification
**Minimum Education Requirement:** High School Diploma / GED / Secondary School or equivalent
**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.
Pennington, New Jersey;Jersey City, New Jersey
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge
Refer a friend
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge ( Description:**
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:**
The Internal Investment Advisory Specialist (IIAS) 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 Internal 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.
**Job Responsibilities:**
+ Focuses on proactively supporting the advisors in their respective markets to drive sales growth through virtual and phone interactions. Thinks independently, develops and executes strategies to achieve growth goals for respective territories.
+ Partners with coverage team potentially consisting of a specialist partner and other specialists with the Investment Solutions Group to collaborate and bring holistic advice and guidance to advisors.
+ Records all of 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.
**Required Qualifications:**
+ 2-5+ years experience in financial services industry
+ Ability to work under pressure, meet deadlines and meet clearly defined measurements
+ Strong communication, interaction and presentation skills
+ Self-motivated, adaptive, positive attitude and high energy
+ Must display a passion for achieving aggressive goals in innovative and highly professional way
+ 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:**
+ 2-5+ years sales experience
+ Bachelor's degree
+ Knowledge of professionally managed investment products and/or investment advisory business
**Skills:**
+ Client Management
+ Client Solutions Advisory
+ Customer and Client Focus
+ Pipeline Management
+ Relationship Building
+ Collaboration
+ Presentation Skills
+ Prospecting
+ Referral Management
+ Wealth Planning
+ Referral Identification
**Minimum Education Requirement:** High School Diploma / GED / Secondary School or equivalent
**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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0
Internal Investment Advisory Specialist
07308 Jersey City, New Jersey
Bank of America
Posted 1 day ago
Job Viewed
Job Description
Internal Investment Advisory Specialist
Pennington, New Jersey;Jersey City, New Jersey
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge
Refer a friend
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge ( Description:**
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:**
The Internal Investment Advisory Specialist (IIAS) 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 Internal 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.
**Job Responsibilities:**
+ Focuses on proactively supporting the advisors in their respective markets to drive sales growth through virtual and phone interactions. Thinks independently, develops and executes strategies to achieve growth goals for respective territories.
+ Partners with coverage team potentially consisting of a specialist partner and other specialists with the Investment Solutions Group to collaborate and bring holistic advice and guidance to advisors.
+ Records all of 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.
**Required Qualifications:**
+ 2-5+ years experience in financial services industry
+ Ability to work under pressure, meet deadlines and meet clearly defined measurements
+ Strong communication, interaction and presentation skills
+ Self-motivated, adaptive, positive attitude and high energy
+ Must display a passion for achieving aggressive goals in innovative and highly professional way
+ 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:**
+ 2-5+ years sales experience
+ Bachelor's degree
+ Knowledge of professionally managed investment products and/or investment advisory business
**Skills:**
+ Client Management
+ Client Solutions Advisory
+ Customer and Client Focus
+ Pipeline Management
+ Relationship Building
+ Collaboration
+ Presentation Skills
+ Prospecting
+ Referral Management
+ Wealth Planning
+ Referral Identification
**Minimum Education Requirement:** High School Diploma / GED / Secondary School or equivalent
**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.
Pennington, New Jersey;Jersey City, New Jersey
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge
Refer a friend
**To proceed with your application, you must be at least 18 years of age.**
Acknowledge ( Description:**
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:**
The Internal Investment Advisory Specialist (IIAS) 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 Internal 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.
**Job Responsibilities:**
+ Focuses on proactively supporting the advisors in their respective markets to drive sales growth through virtual and phone interactions. Thinks independently, develops and executes strategies to achieve growth goals for respective territories.
+ Partners with coverage team potentially consisting of a specialist partner and other specialists with the Investment Solutions Group to collaborate and bring holistic advice and guidance to advisors.
+ Records all of 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.
**Required Qualifications:**
+ 2-5+ years experience in financial services industry
+ Ability to work under pressure, meet deadlines and meet clearly defined measurements
+ Strong communication, interaction and presentation skills
+ Self-motivated, adaptive, positive attitude and high energy
+ Must display a passion for achieving aggressive goals in innovative and highly professional way
+ 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:**
+ 2-5+ years sales experience
+ Bachelor's degree
+ Knowledge of professionally managed investment products and/or investment advisory business
**Skills:**
+ Client Management
+ Client Solutions Advisory
+ Customer and Client Focus
+ Pipeline Management
+ Relationship Building
+ Collaboration
+ Presentation Skills
+ Prospecting
+ Referral Management
+ Wealth Planning
+ Referral Identification
**Minimum Education Requirement:** High School Diploma / GED / Secondary School or equivalent
**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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1
Senior Advisor, Supervision- Investment Advisory
33747 Florida, Florida
Raymond James Financial, Inc.
Posted 3 days ago
Job Viewed
Job Description
**Job Summary:**
The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations and guidelines as well as firm policies governing advisory accounts. A Senior Advisor, general investment advisory is expected to conduct reviews which can include - fiduciary and investment advisory reviews consistent with the Investment Advisers ACT of 1940, IAR planning/meetings with clients, analyze data, and directly communicate with IARs regarding their findings.
Some guidance is provided to perform varied work that is comprehensive in nature, and which requires evaluation, originality, and ingenuity to make moderately complex decisions. The candidate will need to resolve and/or recommend solutions to complex problems. Leads defined work or projects which may entail considerable scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.
The Senior Advisor in this role will support Raymond James' Private Client Group to analyze various supervisory and general fiduciary reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and firm expectations to limit firm liability. Responsible for advanced review and resolution by effectively communicating and partnering with Private Client Group IARs on sensitive issues and manages conflict in line with the firm's culture and strategy.
May train and mentor new or less experienced team members. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity.
**Essential Duties and Responsibilities:**
- Uses knowledge to have conversations with advisors on their use of Discretion, including approval and ongoing qualifications of the discretion platform
Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through the use of various reports and systems.
- Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the advisors and branch managers.
- Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
- Interprets, applies and recommends changes to organizational policies and procedures.
- May consult independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
- Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
- Performs other duties and responsibilities as assigned.
**Knowledge, Skills, and Abilities:**
**Knowledge of** :
- Company's working structure, policies, mission, and strategies.
- General office practices, procedures, and methods.
- Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
- Principles of banking, finance, and securities industry operations
- Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
- General knowledge of ERISA, DOL, Retirement Plans.
**Skill in:**
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
- Attention to details to ensure regulatory liability is limited, without impairing workflow.
- Utilizing business-appropriate phone manners.
**Ability to:**
- Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
- Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
- Establish and communicate clear directions and priorities.
- Provide a high level of customer service.
**Educational/Previous Experience Requirements:**
- Bachelor's degree (B.A.) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.
~or~
- An equivalent combination of experience, education, and/or training.
**Licenses/Certifications:**
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
o SIE required provided that an exemption or grandfathering cannot be applied.
o Required to have a Series 7 and 66
o Series 7 and 65 can be used instead of the 66
o Applicable designation or CFP can be used instead of the 65 or 66 and must be in good standing
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations and guidelines as well as firm policies governing advisory accounts. A Senior Advisor, general investment advisory is expected to conduct reviews which can include - fiduciary and investment advisory reviews consistent with the Investment Advisers ACT of 1940, IAR planning/meetings with clients, analyze data, and directly communicate with IARs regarding their findings.
Some guidance is provided to perform varied work that is comprehensive in nature, and which requires evaluation, originality, and ingenuity to make moderately complex decisions. The candidate will need to resolve and/or recommend solutions to complex problems. Leads defined work or projects which may entail considerable scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.
The Senior Advisor in this role will support Raymond James' Private Client Group to analyze various supervisory and general fiduciary reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and firm expectations to limit firm liability. Responsible for advanced review and resolution by effectively communicating and partnering with Private Client Group IARs on sensitive issues and manages conflict in line with the firm's culture and strategy.
May train and mentor new or less experienced team members. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity.
**Essential Duties and Responsibilities:**
- Uses knowledge to have conversations with advisors on their use of Discretion, including approval and ongoing qualifications of the discretion platform
Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through the use of various reports and systems.
- Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the advisors and branch managers.
- Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
- Interprets, applies and recommends changes to organizational policies and procedures.
- May consult independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
- Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
- Performs other duties and responsibilities as assigned.
**Knowledge, Skills, and Abilities:**
**Knowledge of** :
- Company's working structure, policies, mission, and strategies.
- General office practices, procedures, and methods.
- Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
- Principles of banking, finance, and securities industry operations
- Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
- General knowledge of ERISA, DOL, Retirement Plans.
**Skill in:**
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
- Attention to details to ensure regulatory liability is limited, without impairing workflow.
- Utilizing business-appropriate phone manners.
**Ability to:**
- Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
- Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
- Establish and communicate clear directions and priorities.
- Provide a high level of customer service.
**Educational/Previous Experience Requirements:**
- Bachelor's degree (B.A.) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.
~or~
- An equivalent combination of experience, education, and/or training.
**Licenses/Certifications:**
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
o SIE required provided that an exemption or grandfathering cannot be applied.
o Required to have a Series 7 and 66
o Series 7 and 65 can be used instead of the 66
o Applicable designation or CFP can be used instead of the 65 or 66 and must be in good standing
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
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2
Senior Associate- Underwriter, Investment Advisory
66213 Overland Park, Kansas
Trimont
Posted today
Job Viewed
Job Description
Senior Associate - Underwriter, Investment Advisory
Join to apply for the Senior Associate - Underwriter, Investment Advisory role at Trimont .
OverviewFounded in 1988 and headquartered in Atlanta, Trimont is a specialized global commercial real estate loan services provider. We partner with lenders to provide the infrastructure and capabilities needed to make informed decisions regarding the deployment, management, and administration of commercial real estate secured credit.
Our team of over 400 professionals serves a global client base from offices in Atlanta, Dallas, Kansas City, London, New York, and Sydney. We empower our teams with knowledge, advanced technology, and a culture driven by values, fostering excellence and meaningful client relationships.
Job SummaryThe Senior Associate in Investment Advisory (IA) will deliver exceptional service by providing detailed analytical support for both IA and Asset Management platforms, covering various capital structures and property types. The role requires excellent interpersonal skills, professionalism, and the ability to work independently or as part of a team.
Responsibilities- Lead quarterly re-underwriting of cash flows and valuations for client portfolios, collaborating with asset managers and IA team members.
- Assist with ad hoc re-underwriting for CLO contributions, reinvestments, rating agency inquiries, or other stakeholders.
- Refine and improve underwriting models used for valuation and cash flow projections.
- Update asset valuations based on market comparables and methodology understanding.
- Support existing underwriting guidelines for various real estate assets.
- Run Argus audits and scenario analyses on assets.
- Research market conditions quarterly to update cash flows and valuations.
- Perform detailed quantitative analyses comparing budgets, actuals, and forecasts.
- Gather sale comparables and assumptions for valuation accuracy.
- Engage with third-party appraisers, review, and challenge findings.
- Ensure adherence to quality standards, addressing discrepancies proactively.
- Promote a collaborative team environment with continuous improvement.
- Stay current with industry trends to enhance team performance.
- Present work findings to internal teams and clients.
- Some travel may be required quarterly.
- Bachelors degree in real estate, finance, accounting, or related field.
- At least 3 years of underwriting experience.
- Knowledge of commercial real estate transactions, investment analysis, and loan terms.
- Familiarity with valuation methods across property types.
- Ability to evaluate credit risk through cash flow and valuation trends.
- Understanding of deal structures, including mezzanine and preferred equity.
- Effective communication of underwriting analysis to stakeholders.
- Efficient task management and deadline adherence.
- Proficiency with CoStar, Trepp, STR, Argus Enterprise, and related software.
- Experience with financial modeling and risk assessment tools.
- Proficiency in MS Word, Excel, and Outlook.
- Seniority level: Mid-Senior level
- Employment type: Full-time
- Job function: Finance and Sales
Location: Overland Park, KS | Salary: $65,000 - $75,000 | Posted: 2 weeks ago
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3
Director, Investment Advisory Services (Minneapolis)
55402 Minneapolis, Minnesota
USI Insurance Services
Posted 2 days ago
Job Viewed
Job Description
General Description :
Responsible for client service and retention for the USI Investment Advisory Services (IAS) Practice. Implement strategic sales plan and operating model for the entire Practice. Work with other Practices and USI Retail regions as appropriate.
Responsibilities :
- Leadership : Responsible for full-cycle management and development of respective teams. Align individual and team performance objectives with the goals of the Practice. Ensure the vision and goals of the organization are communicated throughout the team. Lead team in satisfaction of operational goals.
- Growth : Responsible for growing, developing and overseeing the IAS Practice business plan. Drive consistent and predictable long-term profitable new client relationships. Develop internal resources / experts to assist all producers in closing business. Develop new and enhance existing services and products.
- Team Selling : Serve as subject matter expert and participate in new business presentations. May coordinate efforts with Retail Leaders to cross-sell USICG products and services.
- Financial : Responsible for the P&L performance and attainment of targeted financial goals. Forecast future results and trends.
- Strategic Planning : Establish Best Practices on services and processes for the Practice. Develop a long-term growth plan, including revenue growth, technical capabilities, and geographical expansion.
- Acquisition Leadership : May assist IAS President in sourcing acquisition candidates. Lead acquisition integration for respective areas of responsibility.
- Talent Management : Work with recruiters to maintain a recruiting pipeline of talent. Have an organizational understanding of other roles and resources needed for success.
- Travel : Willingness to travel up to 25% of the time, regionally and nationally.
Knowledge, Skills and Abilities :
- 10+ years experience in operations or leadership roles, with prior management experience and working with defined contribution plans required.
- Bachelors degree in Economics, Mathematics, Business, Finance, or Accounting preferred.
- Series 6, 63, and 65 required.
- Exceptional retirement plan consulting and client relations/management skills.
- Advanced knowledge of Microsoft Office products, including PowerPoint, Word, and Excel.
- Effective leadership skills, including the ability to direct and monitor activities of others.
- Proactive problem-solving abilities.
- Organizational skills to stay focused in a busy environment.
- Personable, credible, professional, and dependable.
- Excellent communication, managerial, and interpersonal skills.
LI-KR2
USI is committed to providing a comprehensive benefits package, including health, welfare, and financial benefits such as medical, dental, vision, 401(k), flexible spending accounts, disability, life insurance, and more. We also offer generous paid time off, family leave, and holiday policies.
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4
Director, Investment Advisory Services (Dallas)
75243 Dallas, Texas
USI Insurance Services
Posted 2 days ago
Job Viewed
Job Description
Responsible for client service and retention for the USI Investment Advisory Services (IAS) Practice. Implement strategic sales plan and operating model for the entire Practice. Work with other Practices and USI Retail regions as appropriate.
Responsibilities :
- Leadership : Responsible for full-cycle management and development of respective teams. Align individual and team performance objectives with the goals of the Practice. Ensure the vision and goals of the organization are communicated throughout the team. Lead team in satisfaction of operational goals.
- Growth : Responsible for growing, developing and overseeing the IAS Practice business plan. Drive consistent and predictable long term profitable new client relationships. Develop internal resources / experts to assist all producers in closing business. Develop new and enhance existing services and products.
- Team Selling : Serve as subject matter expert and participate in new business presentations. May coordinate efforts with Retail Leaders to cross sell USICG products and services.
- Financial : Responsible for the P&L performance and attainment of targeted financial goals. Forecast future results and trends.
- Strategic Planning : Establish Best Practices on services and processes for the Practice. Develop a long- term growth plan. Including revenue growth, technical capabilities and geographical expansion.
- Acquisition Leadership : May assist IAS President in sourcing acquisition candidates. Lead acquisition integration for respective areas of responsibility.
- Talent Management : Work with recruiters to maintain a recruiting pipeline of talent. Have an organizational understanding of other roles and resources needed for success.
- Travel : Willingness to travel up to 25% of the time, regionally and nationally.
Knowledge, Skills and Abilities :
- 10+ years experience in an operations or leadership position. Prior management experience and working with defined contribution plans required.
- Bachelors degree in Economics, Mathematics, Business, Finance or Accounting preferred.
- Series 6, 63 and 65 required.
- Exceptional retirement plan consulting and client relations / management skills.
- Advanced knowledge of Microsoft Office products, including PowerPoint, Word, and Excel.
- Effective leadership skills. Includes the ability to direct and monitor the activities of others.
- Ability to creatively and proactively problem-solve.
- Ability to stay organized and focused in a busy environment.
- Personable, credible, professional, and dependable.
- Excellent communication, accounting, managerial, and interpersonal skills.
USI is committed to providing a full-suite of competitive benefits for our growing population and its diverse needs. We offer a wide range of health, welfare and financial benefits including medical, wellness, dental and vision, 401(k), flexible spending and health savings accounts, short and long-term disability, life insurance and other unique employer-sponsored and voluntary programs. USI also offers a generous paid time off policy, paid family leave benefit as well as paid holiday time .
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5
Senior Executive Assistant - Investment Advisory Programs
10176 New York, New York
Citigroup
Posted today
Job Viewed
Job Description
The Senior Executive Assistant provides support to another individual or group of individuals by handling correspondence, managing calendars and appointments, arranging conferences and conference calls, making travel arrangements and providing other administrative tasks.
**Responsibilities:**
+ Directly supports 3 C16 level managers and generally supports an entire department
+ Manages day to day calendar(s) of senior management
+ Coordinates all aspects of executive level manager appointments, meetings, receptions and conference calls
+ May prepare and review materials and correspondence for meetings
+ Assist with creation/modification of presentations, spreadsheets, and other various documents
+ Coordinates travel arrangements; prepare and distribute schedules/agendas for travel
+ Prepares, reconciles, and tracks expense reports through Travel and Entertainment Expense system
+ Orders supplies and process invoices through Procure to Pay system
+ Process and follow-up on Virtual Requests
+ Assists in ad-hoc reports special projects as needed
+ Trains, coaches or guides other administrative staff when required
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
**Qualifications:**
+ Previous office administration experience preferably within a large and complex financial services or similar organization
+ Highly proficient in Microsoft Office
+ Consistently demonstrates clear and concise written and verbal communication skills
+ Demonstrated ability to quickly gain command of new systems
+ Self-motivated and detail oriented
**Education:**
+ Bachelor's/University degree or equivalent experience
---
**Job Family Group:**
Business Strategy, Management & Administration
---
**Job Family:**
Administrative Support
---
**Time Type:**
Full time
---
**Primary Location:**
New York New York United States
---
**Primary Location Full Time Salary Range:**
$91,690.00 - $119,610.00
In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
---
**Most Relevant Skills**
Please see the requirements listed above.
---
**Other Relevant Skills**
For complementary skills, please see above and/or contact the recruiter.
---
**Anticipated Posting Close Date:**
Aug 21, 2025
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi ( ._
_View Citi's EEO Policy Statement ( and the Know Your Rights ( poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
**Responsibilities:**
+ Directly supports 3 C16 level managers and generally supports an entire department
+ Manages day to day calendar(s) of senior management
+ Coordinates all aspects of executive level manager appointments, meetings, receptions and conference calls
+ May prepare and review materials and correspondence for meetings
+ Assist with creation/modification of presentations, spreadsheets, and other various documents
+ Coordinates travel arrangements; prepare and distribute schedules/agendas for travel
+ Prepares, reconciles, and tracks expense reports through Travel and Entertainment Expense system
+ Orders supplies and process invoices through Procure to Pay system
+ Process and follow-up on Virtual Requests
+ Assists in ad-hoc reports special projects as needed
+ Trains, coaches or guides other administrative staff when required
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
**Qualifications:**
+ Previous office administration experience preferably within a large and complex financial services or similar organization
+ Highly proficient in Microsoft Office
+ Consistently demonstrates clear and concise written and verbal communication skills
+ Demonstrated ability to quickly gain command of new systems
+ Self-motivated and detail oriented
**Education:**
+ Bachelor's/University degree or equivalent experience
---
**Job Family Group:**
Business Strategy, Management & Administration
---
**Job Family:**
Administrative Support
---
**Time Type:**
Full time
---
**Primary Location:**
New York New York United States
---
**Primary Location Full Time Salary Range:**
$91,690.00 - $119,610.00
In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
---
**Most Relevant Skills**
Please see the requirements listed above.
---
**Other Relevant Skills**
For complementary skills, please see above and/or contact the recruiter.
---
**Anticipated Posting Close Date:**
Aug 21, 2025
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi ( ._
_View Citi's EEO Policy Statement ( and the Know Your Rights ( poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
View Now
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6
Wealth Management Investment Consultant, Advisory Services
97080 Gresham, Oregon
U.S. Bank
Posted 2 days ago
Job Viewed
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.**
**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.**
View Now
7
Wealth Management Investment Consultant, Advisory Services
55145 Saint Paul, Minnesota
U.S. Bank
Posted 2 days ago
Job Viewed
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.**
**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.**
View Now
8
Wealth Management Investment Consultant, Advisory Services
45217 Cincinnati, Ohio
U.S. Bank
Posted 2 days ago
Job Viewed
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.**
**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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