- Raymond James Financial, Inc. (St. Petersburg, FL)
- …drive key business decisions. Works closely with manager on developing and improving compliance monitoring by analyzing trends and identifying risk related to ... identify, research, and resolve problems. Serves as a technical advisor to the Registrations department for certain...operations. + Financial markets and products. **Skill in:** + Monitoring compliance programs. + Integrating and aligning… more
- Bank of America (Los Angeles, CA)
- …personnel as needed to deliver client solutions + Strictly adhering to compliance and industry regulations; includes ongoing monitoring and suitability of ... Brokerage Services Financial Advisor Los Angeles, California **Job Description:** Merrill Lynch...the Merrill Lynch Global Wealth and Investment Branch Office Compliance Manual. This position is subject to SAFE Act… more
- American Airlines (Miami, FL)
- …serve the needs of the members of the Credit Union. The Financial Advisor assesses members' investment portfolios, financial objectives, and provides guidance to the ... Provide formalized financial plans to members to assist them in achieving and monitoring progress towards their financial goals + Collaborate with departments of the… more
- ICW Group (San Diego, CA)
- …procurement, strategic sourcing and vendor management activities and operations in compliance with corporate policies, applicable law, and effective cost management ... for strategic sourcing and vendor management success. + Serves as key advisor providing recommendations to leaders on vendors, best practices, negotiations, and… more