- Robert Half Finance & Accounting (Mountain View, CA)
- …Work alongside experienced advisors and specialists, learning diverse planning strategies and investment approaches. + Contribute to a firm culture that ... planning professionals to join a team-based wealth advisory environment. The firm manages a high-net-worth client base, providing comprehensive financial planning… more
- Robert Half Finance & Accounting (Mountain View, CA)
- …work culture with minimal turnover and a clear career path to becoming a Lead Advisor . Enjoy bonuses and a lucrative Profit Sharing program. Some ... via email or LinkedIn for additional information or questions. Lead Financial Planner | Thriving RIA |...and analyze client financial information. + Develop financial plans, investment policies, and portfolio reports. + Implement and monitor… more
- Guardian Life (New York, NY)
- …state insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an ... Guardian's retail wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm 's Compliance… more
- Brokers International (Urbandale, IA)
- …+ Ability to multitask and manage multiple projects simultaneously + Prior management, Registered Investment Advisor and Broker Dealer experience required. ... and vendor management of outsourced services/systems. In addition, this role will Lead firm 's trade supervision efforts ensuring timely and efficient review… more
- Equitable (Charlotte, NC)
- …focus of the firm 's growth strategy. Equitable Advisors is a broker/dealer and registered investment advisor that serves as the main retail wealth ... of Equitable Advisors' SEC and FINRA a compliance programs related to its investment advisory and broker/dealer operations. Reporting to the CCO are the Firm… more
- Ankura (Dallas, TX)
- …lending, mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor , exempt registered ... good standing with states under the direction of project lead ; + Supporting the client base and team on...LLC is an independent global expert services and advisory firm that delivers services and end-to-end solutions to help… more
- Ankura (Nashville, TN)
- …lending, mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor , exempt registered ... applications and work required under the direction of project lead ; + Support the team to resolve outstanding issues...LLC is an independent global expert services and advisory firm that delivers services and end-to-end solutions to help… more
- HUB International (Fort Lauderdale, FL)
- …+ Track plan progress per workflow + Stay up to date with broker dealer/ RIA changes and updates + Manage insurance, investment and legal review processes ... is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth… more