- Raymond James Financial, Inc. (Seattle, WA)
- …billion of assets under administration._ _About Raymond James:_ _RJA is an investment adviser and full-service broker-dealer dually registered with the ... include private clients, institutional equity and fixed-income institutional sales, investment banking, trading activities, and operations and administration. RJA… more
- Jackson National Life Insurance Company (Nashville, TN)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... Director will support and promote the sale of Jackson's suite of investment products through advanced retirement and wealth planning strategies. The Director acts… more
- TD Bank (Charlotte, NC)
- …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is ... supervision of employees who are located outside of the US but provide investment management support to Epoch as part of a participating affiliate arrangement. In… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …a subsidiary of Dunham, is an independently owned, registered Broker/Dealer and Investment Adviser helping Financial Advisors and individual investors reach ... Required: + Ten plus years of experience in similar role at broker dealer, investment advisory firm, trust company or similar financial institution; + Keen level of… more
- Guardian Life (New York, NY)
- …Guardian's retail wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance ... Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through… more
- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be ... innovations that drive progress. This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …additional info and immediate consideration. Requirements + 3+ years at a Registered Investment Adviser (RIA) NO EXCEPTIONS + MUST have recent experience ... teams and external providers to keep operations smooth + Review and finalize investment reports + Communicate with polish and discretion *Contact Michelle Espejo via… more
- Jackson National Life Insurance Company (Nashville, TN)
- …Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson ... talented individuals. Program Description Jackson believes its internship program is an investment in the future. The program's intent is to provide students with… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …a subsidiary of Dunham, is an independently owned, registered Broker/Dealer and Investment Adviser helping Financial Advisors and individual investors reach ... their long-term goals. The firm's focus is on providing disciplined wealth management solutions and related services. As a Regional Associate, you will be responsible for working with our Regional Account Managers (hybrid wholesalers) and Regional Directors… more