- Robert Half Finance & Accounting (San Francisco, CA)
- …Email for fastest consideration for this opportunity. Our client is a respected independent registered investment advisor ( RIA ) firm that specializes in ... compliance reports. Requirements + 3+ years of experience as a Compliance Manager /Officer at an RIA . + Strong experience with regulatory filings,… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …or Email for fastest consideration for this opportunity. Our client is an esteemed independent registered investment advisor ( RIA ) firm, known for their ... HYBRID working schedule awaits you. Responsibilities: + Create and supervise effective compliance measures. + Set up strong internal controls and ensure they are… more
- Citizens (Tarrytown, NY)
- …Qualifications: + FINRA Series 7, 24 + JD preferred + Certified Regulatory Compliance Manager (CRCM) certification or equivalent is preferred. Hours & Work ... responsible for creating and executing a strategic plan to address evolving compliance and regulatory requirements related to brokerage, investment advisory and… more
- First National Bank of Omaha (Omaha, NE)
- …The Risk Program Manager is responsible for leading and managing the Bank's Registered Investment Adviser ( RIA ) and Investment risk program, ensuring ... Execution and Monitoring_ + Develop, implement and maintain the RIA risk and compliance program, ensuring the..., risk, internal audit, or regulatory roles within the Registered Investment Adviser ( RIA ) industry.… more
- TD Bank (Burlington, VT)
- …account review and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor , as well as our fixed annuity insurance ... job assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth… more
- Guardian Life (Columbus, OH)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at ... Lead Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing… more
- Atria Wealth Solutions (Austin, TX)
- … through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving ... more about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker-dealer and Registered Investment Advisor with a stable track record of… more
- Citigroup (New York, NY)
- …industry, including knowledge of laws, rules, and regulations applicable to broker dealers, registered investment advisor , swap dealers and future commission ... on the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction with… more
- Charles Schwab (Atlanta, GA)
- …on their feet. + Demonstrated expertise in all aspects of the RIA industry including technology, operations, practice management, compliance , competition, and ... **Your opportunity** Advisor Services, the leading provider of custodial, operational...of custodial, operational and trading support for independent fee-based investment advisors is looking for a sales person like… more
- Equitable (Raleigh, NC)
- … advisory products and services offered through Equitable Advisors, LLC, an SEC- registered investment advisor . Annuity and insurance products offered ... track and be on the path to becoming a vice president or district manager . Equitable Advisors' training systems are designed to provide you with the skills and… more
- Parker Hannifin Corporation (Kent, WA)
- Aerospace Division Operations Manager -Manufacturing Location : KENT, WA, United States Job Family : Manufacturing and Production Job Type : Regular Posted : Oct 21, ... better tomorrow. Learn more at www.parker.com or @parkerhannifin. Division Operations Manager Accountable for all operations and maintenance within the Exotic Metals… more
- Target (Brooklyn Park, MN)
- …of tax reporting including enhancing productivity and efficiency of core compliance through process and technology, monitoring tax risk and opportunities across ... resources to support key work streams. As a Tax Manager in Sales Tax, you will be responsible for...and support the Sales Tax team in audit and compliance matters. In this role, you will foster your… more
- Deloitte (Columbus, OH)
- …of experience and knowledgeable industry professionals! Work you'll do: As a Manager within the Sustainability, Climate and Equity: Renewable Energy practice, you ... to identify process improvements and opportunities for new services. The Manager will ensure accurate, timely completion of deliverables. The ideal candidate… more
- Deloitte (Charlotte, NC)
- Our Global Investment and Innovation Incentives ("Gi3") practice provides our clients a broad range of government credits and incentives ("C&I") services across more ... with a well-respected team of proven innovators! Work you'll do: As a Manager , you will identify eligible federal C&I generating activities and manage and facilitate… more
- Deloitte (Memphis, TN)
- Our Global Investment and Innovation Incentives ("Gi3") practice provides our clients a broad range of government credits and incentives ("C&I") services across more ... of proven innovators! Work you'll do: As a Senior Manager within the Sustainability, Climate and Equity: Gi3 practice,...45Q Carbon Capture Tax Credit + IRC section 48 Investment Tax Credit + IRC section 45 Production Tax… more
- Wipfli LLP (Missoula, MT)
- …offers a career-defining opportunity. Responsibilities: + Lead and manage tax compliance engagements in accordance with firm and professional standards, within ... the main tax point of contact within our firm for clients + Tax Manager is responsible for clients receiving proactive communication and timely service + Perform… more
- Manulife (San Francisco, CA)
- …+ Work with intermediaries to ensure quality ongoing service related to plan design, investment selection, and ERISA compliance + Identify plans that are up for ... must reside within the territory** **The Opportunity** The Relationship Manager is an advocate for the Customer, an industry...team + Maintain the highest standard of excellence in advisor service by attending to inquires/requests + Train advisors… more
- Robert Half Finance & Accounting (Chicago, IL)
- …* Develops and manages the timely, efficient, and accurate tax compliance operations. Includes, business systems operations, tax calculations and analysis, audit ... strategic tax initiatives around business processes, technology evolution, and compliance management efficiencies. * Provides functional value growing collaboration… more
- Wipfli LLP (Chicago, IL)
- …Responsibilities: + Manage tax advisory services and providing thoughtful tax compliance to medical practice clients in accordance with firm and professional ... Caseware, depreciation processing software, Tax preparation software (Axcess), Tax research software ( RIA ), and Go File Room is strongly desired Amanda Feltner, from… more
- Wipfli LLP (Denver, CO)
- …a career-defining opportunity. Responsibilities: + Lead and manage complex tax compliance engagements in accordance with firm and professional standards, within ... Caseware, depreciation processing software, Tax preparation software (Axcess), Tax research software ( RIA ), and Go File Room is strongly desired Amanda Feltner, from… more