- Edward Jones (St. Louis, MO)
- …advocacy and policy perspectives. This opportunity will afford candidates with demonstrated financial services regulatory experience to be part of a culture that ... with regulation from a perspective wealth management, including broker-dealer and investment adviser conduct rules and Regulation Best Interest. + Identify new and… more
- Wellington (Boston, MA)
- …of Wellington Management investment strategies in interactions with clients, financial advisors, and distribution firm gatekeepers. Wellington offers flexibility in ... and sales leaders at Wellington's sub-advisory clients as well as financial advisors and gatekeepers. The settings for presentations will include national… more
- BASF (IA)
- …products with assigned growers and retailers, as well as be a trusted adviser to your customers on agronomics and chemistry. + Establishing business and agronomic ... also accurately be forecasting brand sales with assigned customers and achieving financial goals. + Cultivating solid working relationships with local sales teams,… more
- HUB International (New York, NY)
- …a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. ... the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing...procedures which support Rule 206(4)-7. + Email surveillance / personal trade reviews / marketing material reviews + Develop… more
- Grant Thornton (Iselin, NJ)
- …transition, and assisting in the separation of the business - for financial sponsors and corporate clients + Supporting SEC regulatory filings for carve-outs ... market trends in order to be a proactive problem solver and sought-after adviser to clients and colleagues + Assisting audit teams in evaluating accounting policies… more
- Charles Schwab (San Francisco, CA)
- …commitment to providing client-centric solutions that help Schwab clients achieve their financial goals. SAM Business Unit Risk performs several key first line risk ... SQL. + Strong desire to develop and learn new financial and technical concepts and skills + Ability to...Demonstrated mindset of continuous learning and improvement. + Investment Adviser and/or Investment Company experience In addition to the… more
- Grant Thornton (Pittsburgh, PA)
- …your technical and leadership skills to oversee the completion of on-budget financial statement audits. You'll apply your knowledge of each client's operations, ... processes, business objectives and risks to enhance each financial statement audit - all with the resources, environment...+ Being a proactive problem solver and sought-after business adviser to your clients on a variety of business… more
- Charles Schwab (Southlake, TX)
- …have** Required Qualifications: + Minimum of 8 years of experience within financial services + 5-8 years of experience in a Regulatory Testing/Examiner/Audit role ... licensing and/or compliance certifications (eg, FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS) + General understanding of financial… more
- Charles Schwab (Lone Tree, CO)
- …support management's supervisory responsibility and its efforts to achieve compliance with financial services rules and regulations, and policies of the Company. We ... be assigned **What you have** + At least 8 years of experience within financial services ideally with a deep understanding of investment advisory businesses, as well… more
- Jackson National Life Insurance Company (Chicago, IL)
- …in a fast-paced, rapidly-changing, and highly complex environment required. Financial services experience, preferred. + Experience using analytical and ... in our annual bonus program. This role will also be eligible for compensated personal time off and holidays, health benefits, 401(k) plan with generous matching and… more