UNKNOWN

FEED

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. The Senior Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.

YEAR

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach her/his potential. 
If you have a disability that requires an accommodation to complete the application process, please e-mail TD Bank's HR Compliance Department at <a href="mailto:hrcompliance@td.com">hrcompliance@td.com</a>. Please include your FULL NAME, CONTACT INFORMATION and DETAILS ABOUT YOUR REQUEST within the e-mail. TD Bank is an Equal Opportunity Employer. 
“EOE/Minorities/Females/Veterans/Individuals with Disabilities".

TD Bank

Senior Compliance Business Oversight Manager - US Wealth

sourcestack_via_bold

We aim to provide a flexible, future-proof API offering that addresses a variety of asset classes, including crypto, asset tokenization, futures, and prediction markets, and meets the evolving needs of a truly global client base. You have a strong technical background with a deep understanding of API design and architecture, along with experience in building solutions for embedded finance and white-label products.

Webull Financial

Product Manager, API Solutions

ea_via_bold

FULL_TIME

OTHER

We serve clients in all 50 states with more than 200 branch banking locations in Illinois, southwestern Florida, northwestern Indiana, west Michigan and southern Wisconsin and commercial banking offices in Chicago, Denver, Milwaukee, Grand Rapids, Mich., and in key branch banking locations throughout Illinois. Through a collaborative team of banking, investment, trust, lending, insurance and planning professionals, Wintrust Private Client delivers integrated wealth management solutions designed to help clients build, preserve and transfer wealth.

Wintrust Financial Corporation

Private Client Banker III

equestftpin

What You'll Be Doing: Under immediate supervision, Client Services Associate (Registered) assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records, performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements, provides overall customer service support to clients, may enter trades as directed by the FA(s). Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.

Stifel

Registered Client Service Associate

[AW]-iCims

The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities-helping strengthen relationships and support client retention. Customer Support (NM): Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently.

<h1>Who We Are</h1>
 What we believe. 
 We believe relationships are built on trust. That our lives and our work matter. And that doing what’s right is good for everyone — our clients, our employees, our financial representatives and our communities. 
 These beliefs launched our company nearly 160 years ago. Today, they’re just a few of the reasons why people choose to build careers at Northwestern Mutual.
 
 
 We’re known for our financial strength. 
 That means we’ll be here for the millions of people who are counting on us—our clients, our employees, our financial representatives and our communities. 
 
 We care.
 We make a positive difference in our communities. Nationally, thousands have benefited from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they’re passionate about. 
 

<h1>Why Work Here</h1>
 We’re strong and growing. 
 In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We’re strong, innovative and growing. And we want you to grow with us.
 
 
 We invest in our people. 
 We provide opportunities for employees to grow themselves, their careers, and, in turn, our business. Movement around the company is encouraged and we help our people build meaningful, long-term careers.
 
 Be part of building our future.
 We’re expanding our campus in downtown Milwaukee overlooking Lake Michigan. The Northwestern Mutual Tower and Commons will include a state-of-the-art employee Learning Institute, and will feature a natural light-filled, 21st century work environment. This signature development reinforces our commitment to job growth, attracting top talent and drawing new business to Milwaukee. 
 
 Enjoy Milwaukee. 
 Located on beautiful Lake Michigan, Milwaukee offers a perfect balance of big city and small town living. Home to Summerfest, the world’s largest music festival, Milwaukee has a thriving music scene, a celebrated annual film festival and vibrant performing arts community. Professional sports teams include the Milwaukee Brewers, Milwaukee Bucks and other major teams. And outdoor family fun is easy here. An extensive urban bike path network links our lakefront parks, beaches and other recreational hotspots. 
 
 <h1>Our Culture</h1>
 We are always evolving. 
 At Northwestern Mutual, our employees, and our business, are always evolving. We are agile and continuously learning and improving. We have a work environment that empowers problem solving and encourages innovation—you will make an impact here.
 
 
 We do what’s right. 
 Our “do-what’s-right” value is pervasive. We ask ourselves: “Is this in the best interest of our clients? Our employees? Our financial representatives?” Acting on this value improves our clients’ experience, and makes Northwestern Mutual a better place to work. 
 
 We recognize and develop possibilities in our people.
 Onsite training and leadership development programs help employees succeed and grow. We also sponsor learning opportunities outside the company to help employees stay current in their fields, network with peers and gain external perspective. 
 
 Diversity makes us better. 
 We believe diversity and inclusion cultivate creativity, innovation and a better experience for our clients. That’s why we recruit and grow people who bring unique perspectives, ideas, beliefs and cultural backgrounds.

The Northwestern Mutual Life Insurance Co

Brokerage Services Registered Analyst - Series 7/63 - Remote

linkup_via_bold

He/she will have responsibility for monitoring Draper''s various investment portfolios, developing capital structure and risk management models and related insurance coverage, coordinating debt administration and compliance, managing and forecasting cash balances, and maintaining all related internal, external, and regulatory reporting. Serve as liaison with key external providers for the Treasury area, including Draper''s retirement plan administrator, retirement plan investment advisor, outsourced chief investment officer, actuarial firm, insurance providers, external legal counsel, banking institutions, debt providers and rating agencies.

The Charles Stark Draper Laboratory Inc

Manager, Treasury

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. 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.

We believe in our vision and values just as strongly today as we did the first time we put them on paper more than 20 years ago. Staying true to them will guide us toward continued growth and success for decades to come. As you read more about our vision and values, you will learn about who we are, where we’re headed and how every Wells Fargo team member can help us get there.

Wells Fargo Bank

Registered Client Associate

Execute various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships. 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.

Senior Registered Client Associate

With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. The RCSA's primary responsibility is to support Financial Advisors in sales, marketing and day-to-day operations of a growing wealth management practice.

Oppenheimer Holdings Inc

Registered Client Service Associate (Fort Lauderdale, FL)

Provide strategic and hands-on leadership across the organization’s financial functions, ensuring that financial systems, controls, reporting, budgeting, forecasting, cash management, revenue processes, and financial decision-making support exceptional care and long-term organizational sustainability. This position requires a leader who is comfortable moving between long-term financial planning, executive and Board-level analysis, budget development, cash flow oversight, reimbursement and revenue-cycle concerns, audit preparation, internal controls, and direct problem-solving when financial issues arise.

HR Office Savers

Finance Director, Non-Profit

partner JazzHR

ADAPTED_NOW

Cultivate, manage, and retain High Net Worth and Ultra High Net Worth client relationships, expanding Assets Under Management (AUM) by acquiring new clients and deepening existing relationships. As the primary point of contact for the client, the Banker's primary responsibility is to adopt a proactive and disciplined approach to expanding and retaining existing relationships while acquiring new clients.

We are Santander Bank, N.A., one of the country's top retail banks by deposits and a wholly owned subsidiary of one of the most respected banks in the world: Banco Santander. Our parent company, Santander Group, serves more than 100 million customers in the United Kingdom, Latin America, and Europe. Here in the Northeast, we are a team of 9,800 individuals all committed to a single mission: to help customers make progress toward their goals. We aim to make banking hassle-free by providing simple ways for customers to spend, save and manage their money.
 
 
Santander is recruiting people like you who want to be challenged and strive for something better. At Santander, you'll be rewarded with competitive compensation and market leading benefits. You'll have access to comprehensive career development programs that empower you to grow and advance. You'll discover a company where you can shape a bright future.

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Santander US

US Private Bank - Sr Private Banker - Miami, FL

Santander Bank, NA

Leverages specialized knowledge and experience to partner collaboratively with other planning professionals and Relationship Managers (Private Bankers, Investment Counsellors, Investment Advisors) to provide clients with comprehensive wealth planning advice and solutions encompassing financial, tax, succession, philanthropic, will, estate and trust planning in connection with their overwall wealth planning needs. Supports the growth and retention of HNW/UHNW client assets through specialized planning solutions that help to broaden the dialogue and enhance the client relationship in order to consolidate client assets and inrease revenues.

BMO (Bank of Montreal)

Senior Wealth Strategist

The practice serves founders at liquidity, executives navigating complex compensation structures, multigenerational families managing legacy assets, and UHNW individuals whose estates demand sophisticated planning across tax, trust law, asset protection, and family governance. You would work within an integrated team of trusts and estates, income tax, and estate administration lawyers alongside estate and fiduciary accountants, so expertise sits inside the practice rather than down the hall.

Sterlington, PLLC

Trusts & Estates Counsel

GreenHouseAPI

PART_TIME

Work closely with Trust Administration Officers, clients, CPA’s, attorneys, investment advisors, agents, etc. for account processes and problem resolution and maintain proper file documentation for client accounts. JOB SUMMARY: The Trust Administration Associate is responsible for directly assisting the Trust Administration Officers with the daily workflow of managing accounts within the Trust department.

Seacoast Bank

Trust Administration Associate

Provides cooperation and assistance to Assistant State Attorneys, Assistant Statewide Prosecutors, Assistant U.S. Attorneys and law enforcement agencies concerning criminal enforcement matters which may result from investigations conducted by the OFR into alleged violations of the state banking, securities, and finance laws or related statutes and provides assistance and cooperation to other state and federal governmental agencies concerning civil or administrative actions related to alleged violations of matters within the jurisdiction of the OFR. The Office of Financial Regulation (OFR) is responsible for licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies, including state-chartered banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money transmitters throughout the state of Florida.

Government of Florida

SENIOR ATTORNEY - 43004203

HOUR

OPS Attorney-4384603

The Office of Financial Regulation (OFR) is responsible for licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies, including state-chartered banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money transmitters throughout the state of Florida. Visit our website at https://www.flofr.gov/aboutus/careers to learn more about the excellent benefits available to OFR employees, including: Flexible work schedules for most positions; Paid holidays and an annual personal holiday; Paid vacation and sick leave; Excellent health & life insurance options for individuals and/or family coverage; Additional supplemental insurances available such as dental, vision, disability, etc.

FINANCIAL CONTROL ANALYST - 43005226

The Office of Financial Regulation (OFR) is responsible for licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies, including state-chartered banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money transmitters throughout the state of Florida. individuals who have one (1) or more years of professional experience in accounting, examining, investigating, analyzing or auditing financial data within the banking, insurance, consumer finance or securities industry compliance, supervision of consumer finance industry personnel or regulations of consumer finance industry or similar experience in another financial services industry subject to complex regulatory review or with federal, state or local government.

FINANCIAL EXAMINER/ANALYST I - 43001742

Manages the Accounting Divisions day-to-day operations, including general ledger maintenance and monitoring, accounts payable, accounts receivable, cash receipts, and financial reporting. Manages the Accounting Division and oversees the maintenance of accounting and financial records, preparation of financial statements, coordination with external auditors, and production of the Annual Comprehensive Financial Report.

Investment Advisor Jobs in Florida

Senior Compliance Business Oversight Manager - US Wealth TD Bank

Product Manager, API Solutions Webull Financial

Private Client Banker III Wintrust Financial Corporation

Registered Client Service Associate Stifel

Brokerage Services Registered Analyst - Series 7/63 - Remote The Northwestern Mutual Life Insurance Co

Manager, Treasury The Charles Stark Draper Laboratory Inc

Registered Client Associate Wells Fargo Bank

Senior Registered Client Associate Wells Fargo Bank

Registered Client Service Associate (Fort Lauderdale, FL) Oppenheimer Holdings Inc

Finance Director, Non-Profit HR Office Savers

US Private Bank - Sr Private Banker - Miami, FL Santander US

Senior Wealth Strategist BMO (Bank of Montreal)

Trusts & Estates Counsel Sterlington, PLLC

Trust Administration Associate Seacoast Bank

SENIOR ATTORNEY - 43004203 Government of Florida

OPS Attorney-4384603 Government of Florida

FINANCIAL CONTROL ANALYST - 43005226 Government of Florida

FINANCIAL EXAMINER/ANALYST I - 43001742 Government of Florida

Finance and Accounting Manager City of North Port FL

FINANCIAL EXAMINER/ANALYST II - 43004362 Government of Florida

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