- TIAA (Frisco, TX)
- ** Associate General Counsel** The Director , Associate General Counsel will join a team responsible for providing legal advice and strategic guidance for ... key agreements and vendor contracts. + Collaborate with TIAA's and Nuveen's Broker - Dealer , Marketing, Insurance, Privacy, ERISA, Compliance and Risk teams, TIAA… more
- Atria Wealth Solutions (San Jose, CA)
- …member inquiries; effectively work with the back-office support personnel at vendors and broker - dealer to ensure a high degree of quality service and member ... Financial Services, LP (CFS) is seeking a Financial Advisor Associate to join its growing team providing retirement and...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable track… more
- Kestra Financial (Columbus, OH)
- …in the financial services industry allowing for a good understanding of broker / dealer operations and + Previous experience in the independent financial ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Wealth Associate position is a client service position who...Other responsibilities as assigned by the Wealth Advisor and Director of Operations. Knowledge, Skills, and/or Abilities: + Advanced… more
- City National Bank (Los Angeles, CA)
- …RELATIONS ANALYST** **WHAT IS THE OPPORTUNITY?** Responsible for working with Associate Director ("AD") to coordinate end-to-end regulatory activity within ... Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management Compliance roles,… more