- Vanguard (Malvern, PA)
- …+ Ensure product accuracy and clarity: Maintain a deep understanding of investment and advisory products, validate critical information with product owners ... programs, including segmentation and measurement. + Product knowledge: Strong understanding of investment and advisory products, with the ability to translate… more
- Wells Fargo (Newport Beach, CA)
- …Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business. + This role requires a FINRA supervisory license and ... Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices… more
- Janus Henderson Investors (New York, NY)
- …sole discretion). You should be willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other ... analyze the entire universe of corporate debt issuers. Help design and launch new investment products based on this quant framework and develop models and tools to… more
- World Insurance Associates, LLC. (Des Moines, IA)
- …and commercial insurance, surety and fidelity bonding, employee and executive benefits, investment advisory and retirement plan services, and payroll & HR ... 401(k) and retirement plans, and payroll and human resources outsourcing services. World's investment in a full suite of insurance and business solutions means you… more
- Edward Jones (St. Louis, MO)
- …services overall and have knowledge of common financial products and services, including investment advisory solutions? If so, this might be the opportunity for ... clients through regulation communication, fraud protection and managing their investment distributions. Protect their investments by mitigating risk. And innovate… more
- Janus Henderson Investors (Denver, CO)
- …sole discretion). You should be willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other ... 6 months of start date + Financial Acumen: Understanding of financial markets, investment products, asset allocation, and asset management + Sales Skills: Ability to… more
- US Bank (Charlotte, NC)
- …Line Operations, which includes Wealth Management, Commercial and Business Banking, Investment Advisory Services and Trust Products Operations (WCIBO), Consumer, ... products and banking operations, particularly those covering wealth management, investment services, trust products, consumer and business banking, payment services,… more
- Thrivent Financial (Crete, IL)
- …Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and variable ... Associate reports to and is employed/contracted by the Financial Advisor. Thrivent Investment Management Inc. is the sponsor for FINRA registration and Thrivent… more
- Guardian Life (Columbus, OH)
- …Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory , you will conduct branch office inspections using risk-based ... (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer… more
- Insight Global (Tampa, FL)
- …for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail communication ... Job Description A large broker-dealer and registered investment advisor firm local to the Tampa area is looking… more