Advisory Job Description

Advisory Job Description

163 votes for Advisory
Advisory provides a range of advisory service to tax exempt organizations in the areas of internal audit, enterprise risk, and internal control.

Advisory Duties & Responsibilities

To write an effective advisory job description, begin by listing detailed duties, responsibilities and expectations. We have included advisory job description templates that you can modify and use.

Sample responsibilities for this position include:

Provides updates to the firm's Risk Oversight Committee, as appropriate
Functions as a deputy and back-up to the Advisory Compliance CCO
Maintains a thorough understanding of all relevant investment advisory, retirement, brokerage and related laws and regulations
Oversees training relating to Risk Management Programs
Advise the business, primarily the front office, on the impact of regulations which affect the business
Represent Investment Compliance in regulatory, systems development and other projects
Liaison with business units to ensure that they are familiar with Compliance processes and to provide high quality regulatory advice
Providing full compliance support to the business in respect of fund launches, on boarding clients and new market / instrument proposals
New product table set-up and maintenance of Investment Advisor profiles
Manage schedule as a whole

Advisory Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Advisory

List any licenses or certifications required by the position: CIA, CPA, CISA, CA, CBCP, CISM, CISSP, CGEIT, CIPP, PMP

Education for Advisory

Typically a job would require a certain level of education.

Employers hiring for the advisory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Finance, Accounting, MBA, Engineering, Business, Computer Science, Economics, Graduate, Business/Administration, Education

Skills for Advisory

Desired skills for advisory include:

Sarbanes-Oxley Act provisions and methodologies for achieving compliance
Audit reports
Work programs
Control summaries
Audit methodologies and developing key internal audit deliverables
Institute of Internal Auditors code of ethics and compliance requirements
Accounting operations and financial frameworks

Desired experience for advisory includes:

Assisting and resolving compliance and regulatory issues arising from sales and trading activities
Making decisions as to whether transactions are permitted or not and escalating anything particularly complex/unclear to senior team members
Resolving trading issues to the satisfaction of both the business and in compliance with regulatory obligations
Ability to communicate with senior business management the sales/trading desks and relevant support functions
Ability to work well within a team independently
Internal Audit/Risk Advisory experience gained in practice or the financial services sector

Advisory Examples


Advisory Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of advisory. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for advisory
  • Coordinate daily meals for Managing Director
  • Manage a high volume of phone calls, including screening calls, taking accurate messages and distributing in a timely manner
  • Prepare for internal meetings by organizing conference rooms, setting up audio/visual, greeting guests, and providing beverage service
  • Coordinate and schedule heavy domestic and international travel arrangements
  • Prepare detailed itineraries, organize necessary visa documentation, and distribute travel documents
  • Prepare and process timely travel and expense reports using the Concur Expense Application
  • Provide timely and proactive status updates on assigned tasks
  • To support the effective implementation of regulatory reform and general regulatory developments by providing expert regulatory advice to all key stakeholders on the impacts and requirements of new rules and regulations during the initial advocacy and implementation stages of the regulatory change cycle
  • Work closely with Compliance Officers and other relevant Compliance stakeholders, Change and Business management to assess the potential impact of regulatory reform and general regulatory developments
  • Proactively engage with and represent the firm on relevant industry bodies and maintain links to regulators and industry groups as appropriate, ensuring effective knowledge sharing with key stakeholders to support the application of best practice
Qualifications for advisory
  • Ideal candidate has all Transaction Services experience or started in Audit and transitioned to Transaction Services
  • Must be in a Transaction Services role currently (at a Manager level) – Financial Due Diligence
  • The jobholder is required to adopt a proactive and enquiring approach to all tasks
  • Bachelor degree or above in computer science or engineering
  • Has strong Storage solution and product knowledge/skills/experience
  • Understanding of marketing, advertising, and media processes including

Advisory Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for advisory
  • Undertaking compliance briefings for new members of Rates, Credit, ICG and Structuring staff in a timely fashion in line with Key Ops
  • An ability to work independently with a minimum direction work part of a team
  • Decisiveness, and be action oriented
  • Strong with your verbal and written communication skills
  • Able to handle and manage a number of different projects simultaneously
  • Working with staff in Global Markets (GM) and Corporate Investment Banking (CIB) to ensure they act in accordance with all regulatory requirements by giving advice on all applicable laws, regulations, internal policies and exchange requirements
  • Monitoring regulatory developments and changes
  • Partnering with other control functions and central compliance
  • Manage and execute on all tasks related to advisory consulting engagements for clients, including scoping calls and kickoff/prep calls
  • Partnering with other control functions Audit, Operations, Legal, central compliance, credit, when matters of common or collateral concern arise
Qualifications for advisory
  • Big 4 experience a must – 5-7 years of experience
  • At least 2 years experience in Telco/Internet industry working experience
  • Series 7 required and 65 (or 66) required
  • 5+ years industry experience with a strong preference for advisory and/or retirement experience
  • Knowledge of organization’s existing and planned information
  • Ability to impact decisions within and outside own organizations

Advisory Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for advisory
  • Effectively runs all deal aspects with limited Managing Director guidance
  • Manages multiple chargeable and non-chargeable projects of varying size and complexity - Possesses ability to identify potential transaction risks and implements strategies to address the risks
  • Proficient in purchase accounting and SEC Reporting guidelines
  • Abides by risk management guidelines and engagement review memo procedures
  • Assist with Assurance / Insurance activities, quotes
  • Consult directly with the Senior Advisory specialist who will liaise with the related Private Banker/Wealth Manger
  • Consult with the Senior Advisory Specialist who liaise with clients under the supervision of the regional Advisory Specialist, the related Private Bank/Wealth Manager
  • Provide support in the drafting of Wills and Trusts
  • Responsible for major commissions / projects that are complex & challenging
  • Proactively communicate progress on an on-going basis, ensuring transparency throughout
Qualifications for advisory
  • Typically qualified accountant with ACA, CIMA or other accounting qualification, and a strong academic record
  • Ideally 1-2 years post-qualification experience (PQE) for Senior Consultant roles, 3-4 years PQE for Manager roles, and 5 years plus PQE for Senior Manager roles
  • At least 10 years of experience as a WMA
  • Bachelor's degree required, preferred field Finance, Economics or Business
  • At least 4 years experience in WebSphere Commerce services engagement
  • Database design and methodology

Advisory Job Description

Job Description Example
Our company is hiring for an advisory. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for advisory
  • Acts as Subject Matter Expert in the design, development, and delivery of training to all employees
  • Takes guidance from business-line managers and then collaborates on the development needs of individual new hires
  • Delivers coaching and training to new hires and existing staff that results in improved team performance
  • Call center and/or virtual coaching experienced preferred
  • Provides new hire feedback on developmental opportunities in one-on-one and group coaching
  • Role will involve 50-75% travel
  • Key PMO point of contact and lead for coordination, reporting and financial/portfolio analysis for Corporate Systems and Global Employee Benefits IT organizations
  • Ensures effective communication and guidance is provided to assigned IT organization
  • Demonstrates high level of proficiency on a Specific Industry Profile & specialization of their client assignments
  • Work with customers and prospects to understand and analyze their business and make recommendations to enhance the business which may include best practices or customized/new solutions
Qualifications for advisory
  • Blackberries and mobile devices
  • Network protocols and server hardware and configuration
  • Demonstrated excellent customer service skills including communication skills
  • A highly-motivated self-starter, the successful candidate will demonstrate sound judgment, excellent technical skills with a strong personality, combining gravitas, energy, enthusiasm, resilience, tenacity, diplomacy and man-management skills
  • Ability to collaborate across teams/functions and work autonomously to own/progress issues
  • Facilitate workshops and teach methodologies to develop risk practitioners

Advisory Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for advisory
  • Monitor new advisory account set-up, implementation and daily maintenance processes such as deposits, journals, goal modifications
  • Mentor, develop and train the operations staff while remaining an integral part of the business
  • Ensure the team’s delivery of timely and accurate phone support to the field
  • Make recommendations to improve advisory processing in the most efficient manner
  • Educate registered investment advisors with regard to managed account best practices
  • Be the first point of contact for the escalation of field concerns and trade corrections
  • Be an active participant in the relationship with Envestnet and separate account money managers
  • Manage advisory exception reports in compliance with applicable securities industry rules and regulations
  • Collaborate with internal departments and customers as needed
  • Serve as an additional management review resource for the Suitability Team
Qualifications for advisory
  • Take a leading role in the Advisory Team providing advice to front office and support functions on all activities associate with Fixed Income business
  • Deep understanding of Fixed Income products
  • Sound operational knowledge of relevant product groups, debt or equity capital markets, mergers & acquisitions or corporate finance advisory services
  • At least three years of investment banking, secondary advisory, investing or similar experience
  • A proven ability (through multiple similar assignments) to work on complex transactions
  • Effective presentation, communication and writing skills

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