- Guardian Life (Phoenix, AZ)
- …and annuity insurance products. Park Avenue Securities is Guardian's broker-dealer and corporate Registered Investment Advisor ( RIA ), which offers ... help them achieve financial well-being. The High Net Worth Specialist is an integral part of Park Avenue Securities...is an integral part of Park Avenue Securities (PAS). Reporting to the Head of HNW Sales, this person… more
- US Bank (Tempe, AZ)
- …disclosures and overall compliance with regulations. + Provide oversight of client investment reporting and performance presentations. + Perform risk assessments ... you excel at-all from Day One. **Job Description** The Investment Compliance Specialist will provide investment...in performance presentation compliance. - Background or experience in RIA or SEC regulated firm compliance is a plus.… more