- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(eg FINRA, SEC), especially those associated with broker-dealer and registered investment advisor business models. + Planning, organizing and conducting ... + Specific subject matter expertise regarding control disciplines. + Understanding of financial services , products and services , including relevant regulations… more
- Citigroup (Columbus, OH)
- …records through review of reconciliation reports + Communicate cash position to the investment advisor as well as research cash and funding holdings differences ... a variety of fund valuation activities in coordination with the Operations - Transaction Services team. The overall objective of this role is to assist in the daily… more
- Citigroup (Tampa, FL)
- …statements, regulatory filings, and board materials + Communicate cash position to the investment advisor as well as research cash and funding holdings ... a variety of fund valuation activities in coordination with the Operations - Transaction Services team. The overall objective of this role is to assist in the… more
- Trustco Bank (Albany, NY)
- …and processing all activities related to Wealth Management clients serving as investment advisor on assigned accounts and developing new business. Examines ... with regulations and Bank policies and procedures as they pertain to financial services activities. + Adjusts and rebalances client portfolios in order to determine… more
- Thrivent Financial (Lakewood, CA)
- …Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and variable ... and prospects. The Associate reports to and is employed/contracted by the Financial Advisor . Thrivent Investment Management Inc. is the sponsor for FINRA… more
- Citigroup (New York, NY)
- …this role will be responsible for helping to educate Citi Wealth's global banker, investment counselor and financial advisor base on existing and newly launched ... (SIE), Series 7, Series 66 required **Job Family Group:** Private Client Product Services **Job Family:** Investment Manager Research **Time Type:** Full time… more
- Access Dubuque (Dubuque, IA)
- …investment client assets held or managed) 1 Ranking for Northwestern Mutual Investment Services , LLC. Sources: Financial Advisor magazine and ... including Northwestern Long Term Care Insurance Company (NLTC), **Northwestern Mutual Investment Services , LLC** **(NMIS)** ( Investment Brokerage … more
- Thrivent Financial (Faribault, MN)
- …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...prospective and current client on suitable financial products and investment advisory services + Open and complete… more
- BlackRock (Atlanta, GA)
- …wholesaler (external) + Strong financial services background with knowledge of investment trends and advisor practices + Exceptional verbal and written ... Model Portfolios and Model Portfolio landscape. + Deliver fiduciary and investment insights through portfolio construction conversations. + Accelerate the growth of… more
- Principal Financial Group (Minneapolis, MN)
- …and presentation skills. If you have extensive knowledge of the financial markets, investment products, and building advisor relationships - then this may be ... the Internal Wholesaler within territory for collective success in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer… more