- Principal Financial Group (Des Moines, IA)
- …you'll oversee Principal Securities' centralized surveillance program supporting broker-dealer and registered investment adviser ( RIA ) supervision and ... **What You'll Do** We're looking for a Director - Supervisory Surveillance to join our Benefits &...pivotal role in shaping the future of supervisory surveillance, managing current operations, and scaling for future growth. +… more
- JPMorgan Chase (Mclean, VA)
- As a Tech Risk Assurance Director at JPMorgan Chase within the Risk Intelligence & Advisory ( RIA ) Team, you are an integral part of a team that works to ... Identity and Access Management + Proven experience in leading teams, managing cross-functional projects, and implementing risk management policies and processes. +… more
- Charles Schwab (Chicago, IL)
- …with a broad range of investment products and solutions, to both retail and registered investment advisor ( RIA ) clients. Within WAS, Investment ... to create a strong positive client experience. Serving individual investors, registered investment advisors (RIAs), retirement plans, and other institutional… more
- Bank OZK (Atlanta, GA)
- …in self-sourcing investment management assets in a banking, broker-dealer or registered investment advisor related role, preferred. + Experience with ... capabilities. + Creates market-wide business development plan in conjunction with the Managing Director , Chief Development Officer, Investment Advisors, and… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …Finance & Accounting Division is partnering with a well-established wealth advisory firm that provides personalized financial management services to individuals, ... $1.2 billion in assets under management, the firm offers strategic investment solutions designed to help clients achieve their long-term financial goals.… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …and board members of public companies. You'll work directly with the Managing Director , who is recognize as a top advisor in the industry, gaining hands-on ... Rosario - I'd love to connect! Associate Financial Planner - Boutique Wealth Advisory Firm Location: Hybrid (San Francisco, 2 days/week) or Fully Remote About the… more