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The Compliance Surveillance Analyst will conduct trade surveillance to identify potential sales practice exceptions, monitor daily reports, analyze data, assist with compliance projects, maintain records, and collaborate with compliance leads.

Atria Wealth Solutions is looking for an Equity Trader / Specialist to handle stock orders, provide market information to advisors, and ensure account accuracy. The position offers an annual salary range of $40,000 to $60,000 and requires strong communication, computer, and problem-solving skills.

Provide financial consulting services to assist clients with identifying financial goals, recommending appropriate insurance/investment products, managing smaller accounts, and referring advanced financial planning needs to senior advisors.

The Associate Financial Advisor at University Federal Credit Union in the Galveston, League City, and Houston TX areas is responsible for providing financial and retirement planning services to members, non-members, and employees. They offer investment advice, recommend financial solutions, and communicate information about investment products and services. The role involves driving member growth, expanding relationships, analyzing financial information, and maintaining employee relationships through branch trainings and coaching. The position also requires a commitment to professional development and ethical conduct.

As a Financial Advisor, you will identify customer needs for financial services, create investment strategies, analyze market conditions, provide training to staff, meet with clients to review their accounts, and conduct workshops on financial topics.

The Financial Advisor will provide investment analysis and guidance to individuals and businesses, prepare comprehensive financial advice including portfolio reviews and asset accumulation strategies, and assist with retirement and estate planning. The role involves achieving sales goals, motivating office teams, and ensuring compliance with regulations.

The Financial Advisor II serves the financial advisory needs of credit union members utilizing a holistic approach. The Financial Advisor II helps members identify their financial goals and objectives, uses financial planning and analysis to determine appropriate securities and/or insurance products to fulfill the members’ goals and objectives and establishes an ongoing relationship with members to periodically review their portfolio.