Top Tech Jobs & Startup Jobs in NYC, NY

The Client Services Representative supports Financial Advisors by managing client paperwork, scheduling appointments, and enhancing client service interactions. Responsibilities include maintaining client relationships, organizing events, and ensuring compliance with corporate standards.

Manages advertising compliance policies, reviews and approves marketing materials, interprets FINRA and SEC regulations, conducts audits, maintains documentation, trains cross-functional teams, collaborates with legal and regulators, submits compliance reports, and leads compliance professionals in the financial services industry.

Responsible for recruiting financial advisors, developing leads, creating recruitment plans, delivering presentations, and managing the recruitment process in the West Region.

Find, present to, recruit, and close independent financial advisors to join CFG in the East region. Build territory recruiting plans, manage pipeline and metrics, deliver presentations, negotiate offers, and collaborate cross-functionally while tracking activity in Salesforce and Excel.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.

Lead a Regional Growth Team to achieve sales goals, manage advisor relationships, and enhance organic growth. Oversee engagement plans and sales pipelines while collaborating with onboarding and sales teams.

The Regional Business Development Manager recruits Financial Advisors and CPA firms, develops leads, and manages the sales process within the tax channel, focusing on CFG's value proposition.