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Knowledge of US banking/financial regulations and business acumen, including but not limited to Banking Services, Fiduciary, Asset Management, or Broker Dealer. Professional certifications (CPA, CIA, CISA, CISSP, Series 7, CFE, CAMS) preferred.
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Evaluates and provides recommendations regarding selection of policies, including but not limited to: Property, General Liability, Workers' Compensation, Professional E&O, Directors and Officers, EPLI, Fiduciary, Cyber-risk policies, Aviation and any other required policies in place now or in the future.
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Focus acquires and owns growth-oriented and client-centric wealth management firms, challenging the traditional broker/dealer and banking models. As a fast-growing company in the wealth management industry, Focus is the leading partnership of independent fiduciary wealth management firms in the country.
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This position will also work closely with the VP, Legal and Compliance regarding the company’s EPLI coverage, and coordinate with the broker for the company’s fiduciary and E&O policies.
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Minimum of five years of operations experience within a wealth management/trust, registered investment advisor, broker/dealer working environment is preferred. Complete daily duties such as receiving and verifying money movement reconciliation reports, reconciles internal fiduciary accounts, generate reports for assigned market and distributes to appropriate account officer.
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The ideal candidate should possess 7-10 years of Management Liability (D&O, EPL, Fiduciary, Cyber, Crime, etc.) 15th Largest Broker in US. The ideal candidate should possess 7-10 years of Management Liability (D&O, EPL, Fiduciary, Cyber, Crime, etc.
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CSOP, CTOP®, ATOP or CTFA certification considered a plus. The Wealth Management Operations Analyst will ensure adherence to policies, procedures, objectives, and practices and applicable laws. A bachelor's degree in accounting, business administration, economics or finance is preferred.
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Key Responsibilities:Manage operational workflow for the assigned marketComplete daily duties such as receiving and verifying money movement reconciliation reports, reconciles internal fiduciary accounts, generate reports for assigned market and distributes to appropriate account officer.
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Minimum of 3+ years of technical commercial insurance experience in a client or market-facing role (e.g., insurance broker/agent/MGA - retail or wholesale, underwriting, or account management) (e.g., D&O liability, Employment Practices Liability, Fiduciary Liability, Crime, Umbrella, and Workers’ Compensation - including external threats like cyberattacks and terrorism.
ExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Our relationship with Securian Financial Services, Inc. allows us to be independently owned and operated while providing you with the support and training of a well-established financial services company and broker dealer firm.
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Account Administration: Serve as the trust administrator for designated clients, including mentoring and coaching trust specialists to assist you in preparing summaries and recommendations for discretionary actions, communicating with trustees, beneficiaries and financial advisors, administering special assets, reviewing annual trust reviews and ensuring that fiduciary standards and practices are observed.
$80,720 - $121,080 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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A professional designation reimbursement program is provided for multiple designations, such as the Accredited Investment Fiduciary (AIF®) and the Certified Financial Planner (CFP®). Vast array of broker dealer & investment advisory platforms.
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Solid understanding of donor-advised fund (IRS, State Charities Regulators and fiduciary rules), RIA, SEC, banking and broker/dealer regulatory environments and ability to apply to Schwab Charitable’s unique situation.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Our relationship with Cetera Advisor Networks LLC, allows us to be independently owned and operated while providing you with the support and training of a well-established financial services company and broker dealer firm.
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HUB International Limited (“HUB”) is the 5th largest global insurance and employee benefits broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services.
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