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LATEST JOBS

Apr 11, 2024  
WHO WE ARE: We are an innovative and fast-paced Registered Investment Adviser (RIA) firm offering multi-disciplined institutional asset management, financial planning, sales and marketing, training, technology, and first-class support to a national base of Financial Advisors. JOIN OUR TEAM TODAY! As we continue to serve the growing needs of our Financial Advisors, including regulatory compliance oversight, we have an opportunity for a highly skilled professional to join our Compliance Team.  This position is located at our company headquarters in Cornelius, NC, a northern suburb of Charlotte in the highly desirable Lake Norman area. YOUR ROLE: We are seeking a self-motivated Director of Compliance & Field Supervision who is a multi-tasker at heart, with strong communication skills and a problem-solving mindset that thrives in a fast-paced and evolving organization. The successful candidate will be a valued member of the Department, working alongside...
Alphastar Capital Management Hybrid (Cornelius, NC, USA) Full time
Apr 11, 2024  
Title:                                  Vice President of Investments and Administration Supervised by:                CEO Supervises:                      Controller, Grants Manager Status:                              Salaried, full-time, exempt Date:                                 To be filled mid-May, with an expected late June start date     About The Foundation Polk Bros. Foundation ( www.polkbrosfdn.org) is a private independent foundation dedicated to building and strengthening Chicago's families and communities, especially those most affected by poverty and inequity. The Foundation focuses its work at the intersection of Chicago's most pressing issues to address the complex roots and devastating effects of poverty, challenge inequity, and ensure that all Chicagoans can reach their full potential. Polk Bros. Foundation is one of the largest funders of Chicago...
Allegra Consulting Hybrid Full time
Apr 10, 2024  
About the Position: As a member of the Vermont-based client service team, the successful candidate will be a key member of the group responsible for marketing collateral creation, consultant databases, and responding to requests for proposals (RFP), requests for information (RFI), and due diligence questionnaires (DDQ). This individual will maintain and leverage the firm’s existing collateral as well as partner with stakeholders across the firm to convey Champlain’s value proposition to prospective and current clients. Although not directly client-facing, this role is critical in the creation of client deliverables. Responsibilities will include, but are not limited to, the following: Develop and respond to questions on the firm and our strategies from investment consultants, existing clients, and prospective clients. The responses are typically in the form of RFPs, RFIs, and DDQs and are completed within the firm’s response management software, Responsive....
Champlain Investment Partners Full time
Apr 04, 2024  
Investment Counselor Clifford Swan Investment Counselors Pasadena, California Firm Overview Clifford Swan Investment Counselors is an independent, 100% employee-owned registered investment adviser serving high net worth individuals, families, and not-for-profit organizations. With over $3.8 billion in assets under management and approximately 950 high net worth and institutional clients, Clifford Swan is committed to providing objective investment management based on rigorous investment research and financial advice with personalized, responsive client service. Our longstanding success as a firm is rooted in our values, which prioritize putting our clients first and adhering to the highest ethical standards. Position Overview Investment Counselors work within a collaborative team of experienced investment professionals and client service specialists to deliver wealth management services to Clifford Swan clients. As Investment Counselors, we are...
Clifford Swan Investment Counselors Pasadena, CA, USA Full time
Apr 04, 2024  
Investment Counselor Portfolio Manager Clifford Swan Investment Counselors Pasadena, California   Firm Overview   Clifford Swan Investment Counselors is an independent, 100% employee-owned registered investment adviser serving high net worth individuals, families, and not-for-profit organizations. With over $3.8 billion in assets under management and approximately 950 high net worth and institutional clients, Clifford Swan is committed to providing objective investment management based on rigorous investment research and financial advice with personalized, responsive client service. Our longstanding success as a firm is rooted in our values, which prioritize putting our clients first and adhering to the highest ethical standards.   Position Overview   Investment Counselors work within a collaborative team of experienced investment professionals and client service specialists to deliver wealth management services to Clifford Swan clients. As...
Clifford Swan Investment Counselors Pasadena, CA, USA Full time
Apr 04, 2024  
Client Service Specialist   Clifford Swan Investment Counselors Pasadena, California Firm Overview Clifford Swan Investment Counselors is an independent, 100% employee-owned registered investment adviser serving high net worth individuals, families, and not-for-profit organizations. With over $3.8 billion in assets under management and approximately 950 high net worth and institutional clients, Clifford Swan is committed to providing objective investment management based on rigorous investment research and financial advice with personalized, responsive client service.  Clifford Swan embraces a culture of mutual respect among colleagues, staff and leadership who remain rooted in the clarity of our founders’ timeless values – client-first focus, highly personalized service, attention to detail, and complete commitment to our clients’ financial success.  Position Overview The Client Service Specialist works within a collaborative culture of experienced...
Clifford Swan Investment Counselors Pasadena, CA, USA Full time
Apr 04, 2024  
Compliance Officer Position and Company Highlights: Salary: $80,000 - $130,000 based on experience Location: Tulsa, Oklahoma in office Schedule 8:00 AM - 4:30 PM Monday - Thursday, 8:00 AM - 3:15 PM Friday Benefits: Annual bonus program, up to 6 weeks PTO, 90% employer paid medical insurance, 401k 100% match available first day, ESOP available first day, employer paid 2x annual salary life insurance Purpose of Compliance Officer: The Compliance Officer is an integral piece in the implementation and oversight of the Firm's compliance program including education, training, and oversight. The Compliance Officer acts as a liaison with vendors, business partners, and employees on compliance-related issues. Principal Accountabilities of the Compliance Officer: Collaborate with CCO on review and execution of the Compliance Program throughout the organization Coordinate education initiatives on matters of compliance and risk management Assist...
Capital Advisors, Inc. Tulsa, OK, USA Full time