* Develop, implement, and maintain the firm’s compliance policies, procedures, and internal controls.
* Serve as the primary liaison with regulatory...
You’ve built a successful practice and now you’re considering a move. Perhaps you’re looking for more. At Equitable Advisors, we’d like to get to know...
Take your career to the next level at Prudential Advisors! Change your life by helping others change theirs!
We have an immediate opening for a highly...
Lead Advisor, LLC is a consulting and wealth management search firm. This role is for a client in Stamford. For other roles check out jobs.lead-advisor...
* Oversee all compliance requirements for a ’40 Act vehicle
* Manage compliance for a ’34 Act fund
* Lead compliance efforts for a second advisor serving...