- Wells Fargo (Scottsdale, AZ)
- **About this role:** Wells Fargo is seeking a Financial Advisory Senior Branch Manager - Non-Producing in Wealth and Investment Management as part of ... with moderate complexity and risk in Financial Advisory functional area + Manage the branch ...senior managers + Manage allocation of people and financial resources to ensure commitments are met and align… more
- Guardian Life (Phoenix, AZ)
- … Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory , you will conduct branch office inspections using risk-based testing ... is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the...and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules… more