- PIMCO (Newport Beach, CA)
- …and Compliance team. This role will focus on enhancing and managing the investment adviser compliance program, with a particular emphasis on compliance related ... regulatory areas. The successful candidate will lead critical components of the investment adviser and ERISA compliance programs, including policy development,… more
- Cetera Financial Group, Inc. (El Cajon, CA)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- New York Life (Dallas, TX)
- …advisory services offered by Financial Advisors of Eagle Strategies LLC, a Registered Investment Adviser and a New York Life company. Qualification requirements ... life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds(1) through our broker-dealer arm,… more
- Related (Dallas, TX)
- …more about Related at www.related.com. Related Fund Management ("RFM") is a Registered Investment Adviser and affiliated with The Related Companies, LP. RFM is ... Responsibilities RFM manages several investment vehicles that acquire, renovate, and operate multifamily...multifamily properties, with approximately 10,000 units owned across these investment vehicles today, with plans to acquire an additional… more
- Ares Management Corporation (New York, NY)
- …CIMA regulatory reviews and interpretation of regulations Strong understanding of the investment adviser industry, and US and global securities laws, including ... based on the Firm's overall structure and include the following: Investment Advisory, which oversees implementation of the Advisers Act, regulatory reporting,… more
- Wilshire Advisors LLC (Santa Monica, CA)
- …Visit www.wilshire.com for additional company information. Wilshire is an SEC registered investment adviser and required to track certain political contributions ... markets. The ideal candidate will have a strong background in investment research, transaction management, and relationship building within the private markets… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Michael Page (New York, NY)
- … Advisers Act and other regulatory matters pertaining to a registered investment adviser /registered funds Experience advising clients on investment ... following legal matters: Provide clear and concise legal advice to registered investment companies on a wide range of registration work, product development,… more
- NYL Nassau-Suffolk Region (Medford, NY)
- …investment advisory services through Eagle Strategies LLC, a Registered Investment Adviser . Registered Representatives offer securities through NYLIFE ... provide financial security and peace of mind through our insurance, annuity, and investment solutions. We act with integrity and humanity in all our interactions… more
- Cetera Financial Group, Inc. (San Diego, CA)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- Wealthfront (Palo Alto, CA)
- …insured-are provided by Wealthfront Advisers LLC ("Wealthfront Advisers"), an SEC-registered investment adviser . The checking features offered in the Wealthfront ... and manage their money. We started with the ambition to transform the investment advisory business. By automating strategies typically reserved for the wealthy, we… more
- Jordan Park Group (San Francisco, CA)
- …our privacy practices, including disclosures for California residents, please see our Privacy Notice Jordan Park is an SEC-registered investment adviser (RIA). ... Jordan Park provides investment management and financial advice to a distinct...to enhance lives and legacies. Jordan Park provides integrated investment and financial advice to a select community of… more
- StaffMyAgency LLC (San Antonio, TX)
- …Financial Advisor with our investment advisory affiliate Eagle Strategies LLC, a Registered Investment Adviser . As a New York Life Agent, you will also have ... be a Financial Advisor affiliated with Eagle Strategies LLC, A Registered Investment Adviser and a New York Life company. Qualification requirements include but… more
- National Life Group (Addison, TX)
- …New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other ... entities are independent of the companies of National Life Group. National Life Group 1 National Life Dr Montpelier, VT 05604 Social Media Policy Site Disclosure and Privacy Policy Equal Opportunity Employer This employer is required to notify all applicants… more
- Bitwise Asset Management (San Francisco, CA)
- …reporting funds, 1940 Act reporting funds, CFTC/NFA reporting funds and our registered investment adviser entity, as well as other required regulatory filings. ... to the crypto ecosystem. We provide education, partnership, and professionally managed investment products tailored to this group's needs, to help them build their… more
- Northwestern Mutual (Orlando, FL)
- …Investment Services, LLC (NMIS) ( Investment Brokerage Services), a registered investment adviser , broker-dealer, and member of FINRA and SIPC, and ... focuses on: Planning Experience *Asset & Income Protection *Education Funding * Investment & Advisory Services *Trust Services *Retirement Solutions *Business Needs… more
- Empire Growth Partners (Milwaukee, WI)
- …Investment Services, LLC (NMIS) ( Investment Brokerage Services), a registered investment adviser , broker-dealer, and member of FINRA and SIPC, and ... to: Planning Experience - Asset & Income Protection - Education Funding - Investment & Advisory Services - Trust Services - Retirement Solutions - Business Needs… more
- National Life Group (Montpelier, VT)
- …New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other ... entities are independent of the companies of National Life Group. Fortune 1000 status is based on the consolidated financial results of all National Life Group companies. National Life Group 1 National Life Dr Montpelier, VT 05604 Social Media Policy Site… more
- Arctic Wolf (Eden Prairie, MN)
- …of business and financial goals Create business cases in support of investment opportunities and external partnerships to aid in prioritization decisions Build ... strong relationships with internal customers and act as a trusted financial adviser to establish strategic plans and objectives for the business Decision Support -… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations… more
