REGISTERED CLIENT SERVICE ASSOCIATE (SERIES 7 REQUIRED). A Mesa AZ based investment firm is seeking a Registered Client Service Associate to join a team of Financial Advisors/Planners. The Associate will support 2 Senior Financial Advisors assisting in the day to day operational support for their HNW clients. Wonderful work environment. On-board new clients, assist with wires, ADV's and process client request. Interact daily with the HNW clients,...
COMPLIANCE ANALYST. An Investment Management firm is seeking a Compliance Analyst to help ensure the regulatory compliance for the firm. The Associate will work on a close knit team to ensure all compliance requirements and activities at met. Role Responsibilities. Conduct on-site/Remote branch reviews, daily trade blotter review and approval, review, investigate all daily trade summary. Review and approve advertising and sales literature. Invest...
