60 Advisor Group Audit Manager Jobs Hiring Near You

Summary: The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those ...

Summary: The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those ...

... management standards while supporting a competitive product shelf for Osaic's advisor network ... Serve as a subject matter expert on annuity and insurance products for audits, exams, and internal ...

The Supplier Manager position will perform and support supplier engagements for internal customers throughout the supplier lifecycle. Utilize and guide stakeholders through established processes and ...

Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support ...

... management. Preferred Requirements: * FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.

The Fraud Analyst will collaborate with business partners across the organization, advisors ... Knowledge of fraud detection tools, case management systems, and monitoring platforms. * Strong ...

The Fraud Analyst will collaborate with business partners across the organization, advisors ... Knowledge of fraud detection tools, case management systems, and monitoring platforms. * Strong ...

Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs) * All ...

In this role, you will be challenged to manage clients and a workload offering unique, dynamic ... Worked with financial advisors inside institutional relationships and RIA's a plus. Current ...

Provide support and assist with the management of regulatory and audit examination. * Work with key ... Extensive Investment Adviser compliance experience, with meaningful broker‑dealer compliance ...

Manages staff as appropriate or as designated by Director of Business Development. * Develops and trains staff in accordance with Premier Trust and Advisor Group guidelines and sets an example by ...

The Fraud Analyst will collaborate with business partners across the organization, advisors ... Knowledge of fraud detection tools, case management systems, and monitoring platforms. * Strong ...

Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support ...

Ladenburg Thalmann Asset Management (LTAM), a member of Osaic, is a registered investment advisor with over $7 billion assets under management. We are seeking a dedicated self-starter to add to the ...

Summary: The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those ...

Overview Field Supervision Opportunity in Financial Services Regional Supervision Manager Location * Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 * La Vista: 12325 Port Grace Blvd, ...

... Group provides day-to-day administrative and service support to clients and advisors, ensuring accurate processing, responsive service, and timely follow-through. As a growing advisory firm managing ...

Summary: The Finance Manager will play a critical role in providing financial insights for potential acquisitions primarily within the organization's W2 Channel. This role involves close ...

The Fraud Analyst will collaborate with business partners across the organization, advisors ... Knowledge of fraud detection tools, case management systems, and monitoring platforms. * Strong ...