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This individual will be the independent compliance partner who will be responsible for working within the Citizens Marketing Department to advice and counsel on applicable SEC, FINRA, MSRB and state securities regulations applicable to any and all marketing/advertising materials which involve any affiliated broker dealer/RIA. The individual must possess an expert level knowledge of all applicable rules/regulations related to broker dealer/RIA marketing and advertising activities.
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Demonstrates deep expertise and experience leading operations within a white-collar professional services environment such as: Dental Support Organizations (DSO), Medical Support Organizations (MSO), RIA/Investment Management, Insurance, Audit/Tax, Human Capital Advisory, Consulting platforms rapidly growing through acquisition.
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Fort Pitt Capital Group – an award-winning independent Registered Investment Advisor (RIA) with a supportive and collaborative culture – has a unique opportunity that offers advisors multiple avenues for growth.
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Safety (OSHA, SDS), ANSI (RIA) standards. Lincoln Electric is the world leader in the engineering, design, and manufacturing of advanced arc welding solutions, automated joining, assembly and cutting systems, plasma and oxy-fuel cutting equipment, and has a leading global position in brazing and soldering alloys.
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This is your opportunity to play a critical role in the future success of a fast-growing Registered Investment Advisor (RIA) and boutique virtual family office. Strong financial planning literacy and 5+ years of experience in a client-facing financial advisory role at a broker dealer or RIA.
$150 - $200Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Experience with tax research tools (Bloomberg BNA, RIA Checkpoint, etc.) Experience with tax research tools (Bloomberg BNA, RIA Checkpoint, etc.) In your important role as Tax Senior Manager with RSM, you will be responsible for the following job duties which are focused around three core concepts (Technical & Quality Expertise, People & Talent Management, and Client Service/Business Development.
$122,300 - $245,900 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Knowledge of safety (OSHA, SDS), ANSI (RIA) standards. THE ROLE: Under the direct supervision of the Plant Manager (PM), the Robotics Engineer directs manufacturing operations through a team of functional Group Managers that oversee and implement all production operations and shop activities at the various JELD-WEN plants and facilities in accordance with corporate Key Performance Indicators (KPI's.
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10+ years of RIA & Broker Dealer Compliance experience; 5+ years as the leader of Compliance functions at a firm. A highly reputable and strategically growing financial services organization is looking to add a driven, detailed, and engaging Chief Compliance Officer to its Broker-Dealer and RIA team.
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Ria Money Transfer, a business segment of Euronet Worldwide, Inc. (NASDAQ: EEFT), delivers innovative financial services including fast, secure, and affordable global money transfers to millions of customers along with currency exchange, mobile top-up, bill payment and check cashing services, offering a reliable omnichannel experience.
$100,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Preferably working towards professional registration (PE, RA, RIA, AICP, CUD, CCM. PMP) Preferably working towards professional registration (PE, RA, RIA, AICP, CUD, CCM. PMP) Bachelor's or equivalent degree required in Engineering, Architecture, Landscape Architecture, Urban planning, or related field.
$80,000 - $82,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Assists in coaching of Advisors on the Registered Investment Advisor (RIA) platform, fostering shared success in managing and growing their business. Advanced degree or professional certifications preferred (i.e. MBA, CFA (Chartered Financial Analyst), CIMA (Certified Investment Management Analyst), etc.
$121,800 - $203,000 a yearExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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A sound understanding of the Broker/Dealer and RIA marketplace. Certified Financial Planner (CFP) - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
$115,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Preference for background in Financial Services, ideally in the Wealth Management/Independent Broker Dealer/RIA industry. Background in working with Azure Cloud Services: Data Factory, SQL database, Functions, Data Lake, Databricks, Logic Apps, and Azure Automation.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. You'll be an employee of Coastal and a dual employee/agent of CUSO Brokerage Services, Inc. (CFS) and/or Members Trust Company (MTC.
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Strategic Compliance Leadership: Partner with the CCO to oversee risk and compliance for our high-performing RIA entities. With a strong Insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike.
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