Description. We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely w...
Description. We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely w...
Supervisory Principal - Multiple Openings (Remote, Nationwide). Pay range dependent on licensing, and specific position/responsibilities. Join a Fortune 500 leader in the financial services industry during a period of major expansion and integration. Our client is a nationally recognized wealth management firm known for its award-winning advisor support, culture of compliance excellence, and continued growth through mergers and acquisitions. As p...
Description. We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join our team and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work ...
Description. We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely w...
