Viewing 1 - 2 of 2 jobs
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all...
The Client Service Associate plays a key role in coordinating and maintaining strong relationships with clients. The Client Services Associate will assist in business development, marketing, improving work flow, and ensuring that the...