- Citigroup (Queens, NY)
- …+ Perform daily reviews of reports to support the WLRSU Team to ensure Wealth RRs registration is compliant with FINRA Rules **Qualifications:** + FINRA Series ... ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy....SharePoint, Adobe. Knowledge in Visio,Tableu a plus. + FINRA License and Registration experience a plus +… more
- Charles Schwab (Westlake, TX)
- **Your opportunity** As a Schwab Senior Wealth Consultant at Charles Schwab you are responsible for providing high-touch service, on-going comprehensive guidance and ... in the context of a dedicated relationship. The Senior Wealth Advisor works across a wide spectrum of investment...goals + Knows how to follow the proper risk, supervision and controls guidelines to deliver the best outcomes… more
- US Bank (St. Louis, MO)
- …from Day One. **Job Description** **GENERAL SUMMARY** : Manages delegated sales supervision for the Office of Supervisory Jurisdiction (OSJ) Market Leader (ML), ... Wealth Management Advisor (Advisor), and Wealth Management...MSRB, OCC, and internal compliance policies.** **Manages first line supervision by monitoring associated persons' compliance with firm and… more
- Wells Fargo (Lake Oswego, OR)
- …Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight ... practices within the Branch(es). You will ensure the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The… more
- Vanguard (Malvern, PA)
- …philosophy to accomplish objectives. + + This job may require regulatory license and/or registration (eg FINRA, state). These will be determined ... of 8 years of supporting retail and retail investment advice / wealth management businesses. Broad knowledge of broker-dealer, banking, and trust company regulations… more
- Wells Fargo (Reading, PA)
- …seeking a Supervisory Control Associate to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of ... . **In this role, you will:** + Participate or conduct compliance, supervision , control reviews, administration and technology + Design risk processes and provide… more
- Wells Fargo (Harrisburg, PA)
- …seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines ... more experienced Management, Market Leaders, Growth Leaders, Branch Managers, , Supervision Managers, and varying Business Units **Required Qualifications:** + 2+… more
- Wells Fargo (Birmingham, MI)
- …seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines ... + Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units **Required Qualifications:** + 2+… more
- Wells Fargo (Naples, FL)
- …seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines ... more experienced Management, Market Leaders, Growth Leaders, Branch Managers, , Supervision Managers, and varying Business Units **Required Qualifications:** + 2+… more
- Wells Fargo (Marlton, NJ)
- …seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines ... more experienced Management, Market Leaders, Growth Leaders, Branch Managers, , Supervision Managers, and varying Business Units **Required Qualifications:** + 2+… more
- Vanguard (Malvern, PA)
- …equivalent combination of training and experience. + This job requires a regulatory license and/or registration (eg FINRA, state, SFC). These will be determined ... today support. The ideal candidate will have Regulation Best Interest and supervision experience, including experience with sales practice and program design, and a… more
- Vanguard (Malvern, PA)
- …equivalent combination of training and experience. + This job requires a regulatory license and/or registration (eg FINRA, state, SFC). These will be determined ... today support. The ideal candidate will have Regulation Best Interest and supervision experience, including experience with sales practice and program design, and a… more
- State of Colorado (Golden, CO)
- …3 years' experience in an ambulatory care setting + 3 years management/ supervision experience + DEA registration /full prescriptive authority + National Provider ... care to Mines students along with supporting the Director in the supervision , direction, management, oversight and evaluation of the medical services within the… more
- Customs and Border Protection (Washington, DC)
- …upon selection). AND 2. Licensure: Must possess a current, active, full, and unrestricted license or registration as a Physician from a State, the District of ... or a territory of the United States. A copy of current, active, full, and unrestricted license or registration as a Physician must be provided at the time of… more
- CARMAX (Golden, CO)
- …regarding Customer contracts, obtaining requirement information regarding registration and/or titling, auditing completed paperwork, cash/payment management ... will manage a variety of diverse tasks, with limited supervision , including vehicle sales, processing of sales paperwork, assessing...an area such as retail, preferred + Valid Driver's License + Basic skills with Microsoft Office Suite (eg,… more
- Thrivent Financial (Bismarck, ND)
- …financial planning assumptions and design decisions. + Works with clients, under the supervision of Lead Advisor, to obtain information and prepare risk profiles and ... field + Series 7 and 66 licenses and insurance license required + Minimum of 3 years experience in...Minimum of 3 years experience in financial planning or wealth management + Strong understanding of financial markets, investment… more