Top Finance Jobs

Reviews and analyzes supervisory controls for high-risk investment strategies and complex products. Identifies process improvements, technology enhancements, and efficiency opportunities while ensuring compliance with firm, regulatory, and FINRA policies. Gathers and interprets data, presents recommendations and statistics, and collaborates with financial advisors, branch managers, operations leaders, compliance teams, and business units. The role requires FINRA supervisory licensing, regulatory registration, background screening, and ongoing risk and compliance oversight.

Supports fiduciary tax services and securities operations by monitoring daily securities and cash activity, resolving low-complexity issues, reviewing transaction documents, gathering data, assisting with reconciliations, and coordinating with tax vendors, investment partners, accountants, and internal teams. The role also contributes to process improvements, risk identification, customer service, and implementation of operational projects and procedures.

Supervisory Control Specialist responsible for reviewing and analyzing controls governing high-risk investment strategies and complex products. The role identifies process efficiencies, recommends policy and technology enhancements, analyzes risk data and trends, and supports compliance with firm and regulatory requirements. The specialist collaborates with financial advisors, branch managers, operations leaders, and business units while exercising independent judgment and presenting recommendations for complex control issues.

Reviews and approves promotional and marketing materials as a qualified supervisor, ensuring compliance with firm policies and FINRA requirements. Leads supervisory and human capital risk management, prioritizes review requests, implements risk controls, and serves as an escalation point. Partners with financial advisors, legal, compliance, and supervision teams; provides education on review processes; supports complex initiatives; and communicates clear guidance while managing deadlines.

Reviews and approves promotional and marketing materials as a qualified supervisor, manages supervisory and human capital risks, and advises financial advisors on compliance requirements. The role prioritizes review requests, implements controls, leads risk-mitigation initiatives, provides education, serves as an escalation point, and collaborates with legal, compliance, supervision, and business teams. It requires FINRA licensing, regulatory compliance, sound judgment, strong communication, and relationship-building skills.

Lead cost transparency and FinOps analysis for infrastructure and workplace technology services. Deliver consumption and TCO analysis, validate forecasts, maintain cost taxonomies, reconcile allocation logic, prepare governance materials, identify data quality issues, and partner with Technology and Finance stakeholders to explain variances and drive improvement opportunities.

Reviews and analyzes supervisory controls for high-risk investment strategies and complex products. Identifies process efficiencies, recommends control and technology improvements, gathers and interprets data, monitors trends, and presents findings. The role requires collaboration with financial advisors, branch and operations managers, compliance teams, and business units while maintaining expertise in regulatory policies and FINRA requirements.

Manage and service an affluent client portfolio across lending, credit, and deposit products; analyze client financial goals and present recommendations; support account maintenance, KYC, and operational issue resolution; prepare client materials; collaborate with internal teams and maintain compliance with SAFE and LO regulatory requirements.

Reviews promotional and marketing materials as a qualified supervisor, ensuring supervisory and compliance approval. Manages risk controls, escalations, and request prioritization while partnering with financial advisors, supervision, legal, and compliance teams. Leads complex risk-mitigation initiatives, provides education on review processes, exercises independent judgment, and supports regulatory and human capital risk management. The role requires FINRA supervisory licensing, ongoing regulatory compliance, background screening, and may require office-based work.

Manage and service low-complexity affluent client relationships across lending, credit, and deposit products. Analyze client financial goals, prepare client correspondence and presentations, identify retention and cross-sell opportunities, resolve operational account issues, and coordinate with internal teams (Financial Advisors, etc.). Develop product knowledge, ensure compliance with policies and risk programs, and maintain SAFE/NMLS mortgage licensing and LO regulatory requirements.