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SoFi is seeking an attorney with a strong background in financial regulatory experience, with a focus on broker-dealer regulatory issues, to serve as Senior Assistant General Counsel.
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Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
RemoteExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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The Financial Planning Consultant will also partner with a Financial Service Assistant (FSA) who will offer operational support, allowing the Financial Planning Consultant to focus on the financial needs of clients.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 24-year track record of serving the investment needs of credit unions and their members. EOE Relevant Word Search: Registered Representative, Advisor, Adviser, Certified Financial Planner, CFP, Financial Consultant, Investment Manager, Investment services, Mutual Funds, Investments, Chartered Financial Consultant, CHFC, Sales, Banking, Broker, Financial Services, Financial Professional, Financial Advisor, Insurance Sales, Bankers, Finance, Retirement Planning, Estate Planning, 401k, Life and Casualty, Asset Management, Wealth Management, Series 7 Powered by JazzHR.
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Responsibilities:Drafting, negotiating, and closing a high volume and a wide variety of networking agreements (agreements where LPL will be the broker-dealer and investment advisor), ensuring that all contracting processes are adhered to and the firm’s contracting standards are maintained, including but not limiting to those relating to risk allocation.
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Development Corporation for Israel aka Israel Bonds is the US underwriter of debt securities issued by the State of Israel and registered as a FINRmember broker/dealer. Development Corporation for Israel/Israel Bonds is seeking an Administrative Assistant with exceptional professionalism to perform a variety of administrative and clerical tasks for its Mill Valley, CA office.
ExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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Exposure to hedge fund and/or broker dealer structures. Assist the US Legal Counsel with broker requests for setting up and maintaining trading relationships. A new and exciting opportunity is available for a Legal Assistant to join the Maven New York Team and provide support on a wide variety of legal matters with a particular focus on the US region.
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Must be able to be affiliated with our Broker Dealer. Assists Sales Assistant Manager in the evaluation of their assigned sales assistant. Must be able to be affiliated with our Broker Dealer.
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Pzena Investment Management, LLC is a registered investment adviser and broker-dealer managing approximately $60 billion in global equity assets. We offer benefits to support the health and wellness of our employees and their families, such as additional health cover, life assurance, income protection, pension, and firm contributions to causes important to our employees through firm Charitable Giving and Charitable Matching programs.
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Stay current on changes to operational process and procedures both internally and with our broker-dealer and other administrative relationships. The primary responsibility of a Wealth Planning Assistant (WPA) is to serve the client and to support the Wealth Planners through all client relations, business development, and general professional activity.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Coordinate paperwork with the support of the Financial Service Assistant to open new accounts. Required: FINRA Series 7/66, or 63/65 combo. Initiate proactive calls daily, to prospects, and existing clients to initiate new business development and grow assets under management.
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The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser.
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Interacts with bank staff, various personnel from the Broker Dealer, annuity and mutual fund vendors. Registered Sales Assistant in Fremont, CA. Title: Registered Sales Assistant.
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Experience in the broker dealer and/or investment adviser regulatory practice of a major law firm, a major financial institution, or federal banking agency. Experience in broker-dealer and investment adviser regulatory laws, including (but not limited to) FINRA rules, the Investment Advisers Act of 1940, Regulation Best Interest, and U.S. securities laws applicable to broker-dealers and/or investment advisers.
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