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This position is responsible for all finance functions within the Wealth Management department of the Bank. Oversees functions including First Citizens Investor Services Broker/Dealer and RIA, First Citizens Asset Management RIA, SVB Wealth, LLC, Private Wealth Advisory Services, Institutional Advisory Services, and the Private Client Group.
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Financial Oversight - Manages all financial information for the Investor Services Broker/Dealer, the FCAM RIA and SVB Wealth, LLC RIA, including the company's income statement and balance sheet.
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Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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Familiarity with regulatory requirements and compliance, including RIA, in equity capital markets. Familiarity with regulatory requirements and compliance, including RIA, in equity capital markets.
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Bachelor's Degree and 10 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA) OR High School Diploma or GED and 14 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA) License or Certification Type: Finance and Operations Principal Series 27, 7, 63, and 24 Required, Series 53, 65/66 Preferred Skill(s): Knowledge of accounting, securities industry rules and regulations, and computer programming logic.
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Proficiency in ProSystem Fx Software, Engagement and RIA Checkpoint are advantageous. Proficiency in ProSystem Fx Software, Engagement and RIA Checkpoint are advantageous. The ideal candidate will have at least 1+ Years of Public Accounting Experience, CPA or CPA Candidate, and have shown solid tenure in their past roles.
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Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience. We're backed by top-tier venture capital firms, fintech investors, and industry leaders.
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We are the largest RIA in the Pacific Northwest, headquartered in Seattle, with offices nationwide. Leverages internal and external resources to achieve client objectives in such areas as Investment Management, Estate Planning, Tax Planning, Risk Management, and General Planning.
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Understanding of the Registered Investment Advisor (RIA) industry and GIPS standards; FINRA licenses. Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent advanced risk certification.
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CIA, CPA, CISA, MPA, MBA or advanced degree. Partner with first and second line defense teammates across assigned business areas in identifying, escalating and in remediating risk control gaps to ensure compliance with Enterprise Risk Management programs and policy.
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Job Description The Opportunity Savvy Wealth is a technology-driven RIA shaping the future of wealth management. Partner with our user research and design teams to optimize the client experience and platform UI/UX.
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In the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. 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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12+ years of demonstrated ability leading and building Rich Internet Applications (RIA) and RESTful services using agile development practices. Experience working with CICD pipeline, EKS, Docker, Jenkins, Udeploy, Terraform, Datadog, and Sonar.
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Headquartered in Winston-Salem, North Carolina, RIA Solutions Group is a visionary software development company. RIA Events: Team Building, Christmas party, Work Anniversary etc. Life at RIA Explore Life at RIA and discover why RIA is the perfect place to launch your career.
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The faculty is highly recognized with seven National Science Foundation CAREER Award recipients, four NSF RIA recipients, one NASA Early Career Faculty Award recipient, four ASME Fellows, seven AIAA Fellows, 20 members of the NC State Academy of Outstanding Teachers, and five named professors.
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ria job in Raleigh, NC
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