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Head of Registered Investment Advisor Compliance - NYC - SR7624x Staffpointe Technology Search New York, NY Jun 12
Strong knowledge of applicable investment-advisory and broker-dealer laws and regulations, including, but not limited to, the Investment Advisers Act of 1940 and the Secu ... regulators on investment adviser-related inquiries, examinations, etc. 3. Oversee investment adviser-related regulatory filings - e.g., Form ADV. 4. Oversee... more
Project Manager - Service Excellence Leading Independent Investment Advisor Phoenix, AZ Apr 05
Primary Responsibilities: Assist in the identification of critical business issues Lead the analysis necessary to understand the scope of projects Draft project problem statements Facilitate process improvement projects both within and across teams Recommend metrics to help identify solutions and ensure improvement goals are realized... more
Research Director GL Advisor Waltham, MA Apr 28
provide investment insight to current and prospective clients, both to enrich the investment management credibility of Capital Partners and to efficiently communicate ... Director must also be able to help define, develop and continuously improve overall investment strategy and support and actualize this through the effective management... more
Investment Management Lawyer Affiliated Computer Services Boston, MA Apr 29
law, including experience with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. • Broad bases investment management experience dealing ... issues. • Our client strongly prefers someone with experience at an investment advisor, national law firm or federal regulatory agency. • Strong analytical skills and... more
Wholesaler, Independent Advisor Channel Legg Mason St Louis, MI May 11
curiosity, leadership, and team-oriented approach. If you are passionate about the investment business and about building your future with one of the industry's premier ... This Wholesaler will cover St. Louis and the surrounding area for the Independent Advisor Channel. Key Responsibilities & Duties Include, but not Limited to:... more
Senior Policy Advisor Nyc Office of the Mayor New York, NY Mar 14
With latitude to exercise a wide degree of authority and judgment, the Senior Policy Advisor may work on projects that include, but are not limited to: Developing the ... and agenda Overseeing and implementing the responsibilities of the Workforce Investment Board (WIB), with a focus on member engagement, recruitment and... more
Managing Director, Investments Rmg Associates Minneapolis, MN Mar 14
institutions (preferably foundations or endowments) in an investment management or investment advisory capacity. He or she should have a CFA or similar credentials. ... Therefore, it is crucial that the MDI has a background as a consultative investment advisor with an understanding of UHNW or institutional client... more
Investment Program Manager Credit Union Tampa, FL May 07
referral fee for any hired referral. This position is open because the current Investment Manager was promoted. This position will be responsible for the management ... experience in a Credit Union Responsible for sales and service operations of investment, brokerage, and insurance products offered through broker/dealer Recruits... more
Financial Analyst Leading Independent Investment Advisor Boston, MA Apr 05
Responsibilities: Gain a solid understanding of Financial Engines' business model Maintain five-year and annual planning models as well as monthly forecast Partner with Distribution and Institutional Services Organization Dashboards and reporting for President and EVP to drive execution against corporate priorities Support VP of Finance... more
Associate Director & Career Advisor, Career Management Center Stanford Graduate School of Business Career Management Center Stanford, CA Mar 03
to Stanford MBA students, with a focus on finance (private equity, hedge funds, investment management, venture capital) and technology (consumer internet, digital ... and alumni seek employment, with a focus on finance (private equity, hedge funds, investment management, venture capital) and technology * Exceptional interpersonal... more
Senior Investment Consultant Towers Watson Atlanta, GA Apr 24
class advice and implementation on a range of investment services including setting investment objectives, strategic asset allocation, investment management structure, ... direction Insight into practical issues of investment management organizations (investment process, organizational structure and people, marketing, business... more
Legal Counsel or Senior Compliance Advisor Compliance Search Group New York, NY Apr 22
Legal Counsel or Senior Compliance Advisor, Regulatory Reform Seeking a candidate who has a great understanding of the Dodd Frank act and the impact that the various ... International Investment bank seeks a Senior Legal Counsel to support the Head of Regulatory Reform in the delivery of a strategic, consistent, holistic, effective and ef... more
Senior Marketing Programs Manager Leading Independent Investment Advisor Sunnyvale, CA Apr 05
Our Participant Marketing team is seeking an experienced marketer to develop and deliver great campaigns and programs for 401(k) investors nearing retirement. We are looking for a creative, hands-on innovator who can conceive, create, test, and launch effective engagement and upsell programs focused on investors age 50 and older. more
Asset Class Lead-Investment Research and Operations- Wealth Management Brown Brothers Harriman & Co New York, NY Mar 07
and manager outlook. Create investment analyses, identify opportunities and make investment recommendations on various investment products, managers, asset classes ... Build and maintain relationships within the investment community, including other institutional investors/LPs, respected investment managers, and intermediaries... more
Senior Product Manager - Investor Experience Leading Independent Investment Advisor Sunnyvale, CA Apr 05
This is a hands-on position where the Sr. Product Manager will be expected to provide: product leadership (roadmap, backlog management, and feature negotiations) and actively contribute to designs and product requirements. This is a highly visible role where your contributions really make a difference to the lives of our customers. more
CFO Nepenthe Investment American Canyon, CA May 10
and meeting agendas, and selecting and engaging outside consultants (auditors, investment advisors). * Oversee long-term budgetary planning and costs management in ... collections activities 10. Corporate Development * Represent company in efforts with investment bankers and potential investors * Prepare various analyses and reports... more
Senior Product Manager - Call Center Leading Independent Investment Advisor Sunnyvale, CA Apr 05
and other teams throughout the organization. Work closely with our Phoenix based Advisor Center to understand their needs and to build solutions that enable them to deliver best in class service to our end customers. Create and maintain product backlogs and user stories, discover customer and organizational needs, systems and operations... more
Wealth Advisor Opes Advisors Palo Alto, CA May 08
Provide strategic retirement planning, market and portfolio interpretations, and investment advice during annual or quarterly meetings with clients. Coordinate with ... and rapid resolution of client concerns. Monitor the investment markets and the Investment Committee's reporting in order to ably communicate with clients around... more
Manager, Learning & Development (Training) Leading Independent Investment Advisor Phoenix, AZ Apr 05
courses, and other learning aids, tools, and resources, that support the evolving Advisor Center talent development framework. Leverage the ADDIE instructional design ... support dual-track development of generalists and specialists. Partner closely with Advisor Center management and Compensation to ensure that all training outcomes are... more
Director of Research GL Advisor Boston, MA Apr 19
Analysts * Ensure that Research Operations and output are in line with 6 Pillars of Investment * Manage the use of research resources and determine whether additional ... * At least 5 years experience in Financial Research, particularly in leading investment research teams. * Solid theoretical knowledge of portfolio management,... more
Vice President, Endowment & Foundation Sales Boutique Real Estate Investment Firm Phoenix, AZ Apr 05
engagement efforts with Coles Advisory Channel Consultants that work with Registered Investment Advisors (RIAs) that are consultants to Institutional Investors in this ... pipeline Proactively position and differentiate Cole Real Estate Investments and our investment products against competitor firms and products CANDIDATE PROFILE The... more
Director, Digital Marketing Infrastructure and Analytics Leading Independent Investment Advisor Sunnyvale, CA Apr 05
We are seeking a strong leader to help us move our business from a primarily paper-based experience to a digital one. This means understanding our business, customers and goals and working with the marketing team to define requirements, create a digital architecture and roadmap and execute on a plan to develop an integrated digital... more
Director of Corporate Communications Leading Independent Investment Advisor Sunnyvale, CA Apr 05
This role reports into the Executive Vice President of Marketing and primarily focuses on developing and implementing innovative, proactive, strategic public relations programs including cultivating a social media community and overseeing our investor relations function. The ideal candidate is a senior-level communications executive with... more
Investment Advisor Mutual Fund Store Brandon, FL May 09
investment needs, and the long lasting relationship that helps them achieve their investment goals. We provide our advisors with proprietary sales and investment ... Required Skills Required Experience Qualified candidates will have the following: 4+ years experience in a client-facing financial advisor/sales position A deep understan... more
Senior Internal Audit Advisor - Investment Banking job Cambridge Associates Boston, MA May 11
The Senior Internal Audit Advisor will be an integral part of Cambridge Associates' internal audit function that supports essential business issues, provides objective ... presentations for various internal audiences / purposesWork as an independent risk advisor, identifying meaningful risk observations in support of business... more