- 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 (Orlando, FL)
- **Your opportunity** As a Schwab Wealth Consultant at Charles Schwab you are responsible for providing high-touch service, on-going comprehensive guidance and advice ... clients in the context of a dedicated relationship. The 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
- Wells Fargo (Boston, MA)
- …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
- US Army Corps of Engineers (Savannah, GA)
- …permitted. Selective Placement Factor: This position requires a current, active, valid Professional Registration license as an Engineer in a state, the District ... supports other Districts and Work for Others. Applies a wealth of electrical design and construction expertise in serving...States. (You must attach a copy of your Professional Registration license as an Engineer). Education FOREIGN… 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
- US Coast Guard (Petaluma, CA)
- …This is not a Bargaining Unit position. Selectee must provide a valid state driver's license and safe driving record. Time in Grade requirement must be met by the ... of such background must be demonstrated by one of the following: Professional registration -- Current registration as a professional engineer by any State,… 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 (Carmel, CA)
- …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
- 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