- Robert Half Finance & Accounting (San Mateo, CA)
- …to $120K(Stretch) + Bonus This position will be supporting an independent Financial Advisor with 30+ years of experience who finds satisfaction in educating clients ... Maintain comprehensive knowledge of, and interact with, the multiple investment management platforms + Keep the practice up to...+ Keep the practice up to date on all compliance activities + Manage onboarding process with new clients… more
- Fort Pitt Capital Group, LLC (Pittsburgh, PA)
- Ready to invest in yourself? Fort Pitt Capital Group - an award-winning independent Registered Investment Advisor ( RIA ) with a supportive and ... collaborative culture - is currently seeking an experienced Operations Manager to join our team. Fort Pitt is a...Operational Processes : Familiar with operational procedures in a registered investment advisor firm, covering… more
- Truist (Charlotte, NC)
- …GFOAS, which is an SEC Registered Investment Advisor (" RIA ") to a private fund complex.** **GFOAS Compliance Program responsibilities include, but ... institution 3. Prior supervisory or management experience. 4. Certified Regulatory Compliance Manager (CRCM) **General Description of Available Benefits for… more
- Fort Pitt Capital Group, LLC (Pittsburgh, PA)
- Fort Pitt Capital Group - an independent Registered Investment Advisor ( RIA ) - is currently seeking an experienced Human Resources Manager to join ... acquisition to benefits administration, employee relations, performance management, and HR compliance , this role is integral to maintaining efficient operations and… more
- MassMutual (Windsor, CT)
- …effectively and continuously reprioritize an evolving workload + Experience with broker/dealer or registered investment advisor ( RIA ) firms + Designation ... and provide daily oversight while operating as the relationship manager and main point of contact. + Partner with...to review and assess estate planning, tax planning, and investment needs. + Facilitate scheduled meetings with clients and… more
- City of New York (New York, NY)
- …and/or carrying out compliance functions for a large and/or complex SEC registered investment advisor , broker/dealer, consulting firm, or in a related ... Management (BAM) supports the Comptroller in his role as investment advisor , custodian, and trustee for each...and investments. - Assisting the CCO in performing a compliance review of presentation materials such as investment… more
- Atria Wealth Solutions (Austin, TX)
- … through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving ... Manager and train, if necessary, with Program Manager . + Drive investment and program integration...visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a… more
- Citizens (Westwood, MA)
- …+ Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Able to support, ... opportunities to stretch yourself! As the First Line Risk Manager , you will represent the first line of defense...role in identifying, managing, and mitigating the risk and compliance control environment. You will develop practical solutions to… more
- Equitable (Deerfield, IL)
- … advisory products and services offered through Equitable Advisors, LLC, an SEC- registered investment advisor . Annuity and insurance products offered ... Financial Sales Manager - IL, Deerfield (2348) ( PIN\_19138 )...compliance oversight and supervision. In addition, the District Manager will exemplify the successful financial professional profile by… more
- Equitable (Columbus, OH)
- … advisory products and services offered through Equitable Advisors, LLC, an SEC- registered investment advisor . Annuity and insurance products offered ... Financial Sales Manager - OH, Columbus, Cleveland, Akron (2541) (...fostering relationships with existing experienced financial professionals * Ensuring compliance oversight and supervision * Exemplifies the successful financial… more
- Brokers International (Urbandale, IA)
- The Portfolio Manager works closely with the Chief Investment Officer and with advisors to manage Retirement Ally investment accounts. Duties include day to ... market conditions to effectively position portfolios and maximize returns. The Portfolio Manager will also create reports on investment activity and performance… more
- Citizens (Johnston, RI)
- …of operational matters within a Retail B-D and Registered Investment Advisor + Strong working knowledge of the compliance risks associated with a banking ... and Business management. Qualifications: + 3+ years of broker dealer compliance / investment advisory experience + Experience reading and interpreting regulations,… more
- Charles Schwab (New York, NY)
- …on their feet. + Demonstrated expertise in all aspects of the RIA industry including technology, operations, practice management, compliance , competition, and ... **Your opportunity** Advisor Services, the leading provider of custodial, operational...of custodial, operational and trading support for independent fee-based investment advisors is looking for a sales person like… more
- Charles Schwab (Westlake, TX)
- …think quick on your feet + Knowledge of all aspects of the RIA industry including technology, operations, practice management, compliance , competition, and fee ... us "challenge the status quo" and transform the finance industry together. Advisor Services, the leading provider of custodial, operational and trading support for… more
- Deloitte (Houston, TX)
- Our Global Investment and Innovation Incentives ("Gi3") practice provides our clients a broad range of government credits and incentives ("C&I") services across more ... with a well-respected team of proven innovators! Work you'll do: As a Manager , you will identify eligible federal C&I generating activities and manage and facilitate… more
- Atria Wealth Solutions (Greensboro, NC)
- …to work remotely occasionally, or according to an established schedule determined by your manager . Purpose of the Job The Financial Advisor II serves the ... (CFS) Truliant Federal Credit Union is seeking a Financial Advisor II (Remote Work Flexibility - NC) to join...TFA program. + Follows the established securities and insurance compliance guidelines, and strictly adheres to all Credit Union,… more
- Deloitte (Columbus, OH)
- …of experience and knowledgeable industry professionals! Work you'll do: As a Manager within the Sustainability, Climate and Equity: Renewable Energy practice, you ... to identify process improvements and opportunities for new services. The Manager will ensure accurate, timely completion of deliverables. The ideal candidate… more
- Atria Wealth Solutions (Chambersburg, PA)
- …Financial Services, L. P. (CFS) Patriot Federal Credit Union is seeking a Financial Advisor Associate to provide retirement and investment services to its member ... role, the successful candidate's key responsibilities will include working with registered representatives in assigning the servicing and transitioning a portion of… more