R67125) 2025 Management Development Program Investment Advisor Associate- NYC.
SAI 360 Specialist - Major Investment Bank (Jersey City, NJ) Role Description This is a great opportunity to be the Investment Bank's product specialist for SAI360 GRC Application. The SAI360 ...
... Investment practice while enhancing the customer service level and experience. This role may ... Work with Advisor through weekly meetings to help maintain Advisors Business Plan process, tasks ...
Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor. Annuity and insurance products offered through Equitable Network, LLC
Financial Advisor / Wealth Management Advisor Career Description: Financial Advisor Role at ... investment options, and more. If you're dedicated to helping others in a role that is very ...
... and Senior Advisors · Strong proficiency in Microsoft Excel and PowerPoint What You'll Do (Responsibilities) · Screen and evaluate new investment opportunities, including spearheading the ...
Altfest Personal Wealth Management, a leading independent Wealth Management firm based in NYC, is seeking a Senior Financial Advisor to formulate and implement comprehensive investment and financial ...
Analyst, Power, Energy & Infrastructure Investment Banking Location: New York, NY, In office Firm ... party advisors * Organize and participate in marketing and client meetings * Conduct industry and ...
The ideal candidate will deliver personalized investment solutions to help clients work toward their long-term financial goals. They should be be comfortable creating financial plans and cross ...
Proven experience as a Financial Consultant or similar role, with a strong background in investments. * CFP, CFA, CPA, JD, or MBA required. * Proficiency in financial analysis tools, advanced Excel ...
... or investment management firm. Knowledge of regulatory requirements applicable to US investment managers, particularly the Advisers Act. o NFA and/or FINRA knowledge a plus Basic ...
... 34+B investment adviser focused on leveraged loan, high yield bond, and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management ...
Familiarity with the Investment Company Act and Investment Advisers Act is necessary. * Exposure to exchange-traded funds, variable insurance products, business development companies, investment ...
S. Registered Investment Advisor; and * Support any other compliance and legal initiatives as necessary. Qualifications * Bachelor's degree or equivalent in a related field with 3-5+ years of ...
... Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA · Partner with business, operational and risk teams through all stages of the development of new advisory ...
... FINRA, investment advisors, or fund formation is a plus Qualifications: Qualifications • 6+ years of experience in securities law • Strong understanding of public company regulations and ...
Provide business teams compliance guidance, i.e., Advisor Teams, Investment Operations, Portfolio Management, Trade Desk Team, Investment Product Team. * Identify areas for improvement within ...
Provide advice regarding regulatory matters appropriate for a wealth management and asset management business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities ...
This role offers the chance to work within a well-established compliance team focused on investment advisor compliance for credit strategies, including BDCs. Position Overview: * Perform compliance ...
A solid understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other regulatory requirements is essential. Familiarity with capital markets, equity instruments ...
The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these ...
Career Development Advisor, Markets Department: SEO Career Reports to: Associate Director, Markets ... Preferred markets roles include Sales & Trading, Wealth Management, Investment Management or ...
Provide advice regarding regulatory matters pertaining to a wealth management and asset management business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act ...
Our client, a leading SEC-registered investment advisor with over $15B in assets, is seeking a dynamic, team-oriented lawyer to join their Legal & Compliance team. This role offers the opportunity to ...
