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Through its relationship with CUSO Financial Services, L. P. (CFS) Spokane Teachers Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in and around the Spokane, WA area.
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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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This job assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment AdvisoryService and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus on new account review and suitability forand trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity insurance platforms.
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WFS LLC is designated a primary dealer by the Federal Reserve Bank of New York. Wells Fargo Clearing Services, LLC (WFCS), a Delaware limited liability company, is the Company's primary retail broker-dealer.
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About Rockefeller Capital Management Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions.
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This role involves a blend of regulatory compliance and risk management functions for a US registered broker-dealer and swap introducing broker, specializing in equity research, sales, and execution services (including electronic and algorithmic trading.
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The Relationship Manager will also serve as the primary liaison to internal partners in the Commercial and Consumer divisions, as well as for external centers of influence for wealth management services including investment management, financial planning, Trust, and brokerage services.
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In addition to keeping abreast of regulatory, economic, and financial market trends, the Portfolio Manager will actively participate in community functions, and continue to expand their knowledge in all Private Banking and wealth management services including credit, risk management, investments, financial planning, fiduciary, and insurance as well as real estate, retirement, and tax planning.
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This attorney will advise business partners and stakeholders regarding litigation risks and opportunities in the oversight and management of litigation and other legal disputes, including matters arising out of broker-dealer and investment advisor issues, group retirement products, life insurance, and structured products.
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Minimum 5 years of experience in Compliance and/or Audit department of financial services or other regulated business (bank, broker-dealer, or trust company preferred) Assess the company’s BSA/AML risk profile to apply appropriate risk management processes.
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We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.
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Subject matter expertise in a financial services sub-area like Retail Banking, Commercial Banking, Transaction Banking, Wholesale Banking, Cards & Payments, Wealth Management, Investment Management, Real Estate, Private Equity, Capital Markets.
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Experience in the financial services industry, preferably within a broker-dealer, RIA, investment or financial services firm. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.
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3+ years of experience across Broker-Dealer platforms. Exchange agreement knowledge as well as excellent vendor relationship management skills. A strong understanding of the complexities of financial services and the regulatory environment we operate in, particularly as it relates to the trading space of various security types.
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In the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.
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financial services wealth management relationship broker dealer jobs Company: New York Life Insurance Company in Missouri-city, Missouri
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