Financial Analyst III Salary at Mlgw BETA

FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department including testing and surveillance. Primary Responsibilities Implement policies and procedures of the firm Ability to evaluate and administer new regulations and implement any change needed Surveillance of daily and monthly trading activity Completion of regulatory rule and business practice reviews and testing Delivery of subject matter training to employees Experience, Skills, and Knowledge Required Bachelors Degree in Accounting, Finance, or Business Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit Series 7 and 63 licenses required Series 24 and 53 preferred or ability to obtain promptly after hire Solid working knowledge of the regulatory principles: MSRB, Federal Reserve, SEC, and FINRA Effec

Kelman-Lazarov is seeking candidates interested in serving as an Associate Financial Advisor/Financial Planner. In this role, you will work directly with our clients to assist them with their wealth management and financial planning needs as part of our Client Service Team. This position is responsible for servicing new and existing clients while supporting Lead and Service Advisors in managing client relationships. This includes data gathering, case design, and financial plan development/implementation. The main difference from a Service Advisor is that Service will be expected to own the relationship and administer financial recommendations, while the Associate Advisor will assist with logistics and administration. Associate Advisors can become candidates to grow into Service Advisors if they are interested in doing so and Kelman-Lazarov has a need for one. This position will also be expected to work with, supervise, and collaborate with other staff in client service delivery. Respon

To apply for this position please submit information to careers@legacywealth.com and complete a brief behavioral survey at https://assessment.predictiveindex.com/bo/96GM/FinancialPlanner_Jan2025_223224 (a second assessment will be sent to you upon completion of the first) Financial Planning and Operations Associate We are seeking a dedicated and ambitious professional to join our team as a Financial Planning and Operations Associate. This role offers the opportunity to start by supporting critical operations and client service activities while progressively developing into a relationship-management and financial planning role as experience and education are gained. The goal for this position is to be a full-time relationship manager and financial planner. · The focus of this job is on producing high quality, detailed work based on established standards, guidelines and procedures. Precise, consistent work output is essential, requiring patience and a willingness to handle and complete o

Job Description Job Description Job Summary: We are seeking a knowledgeable and experienced Financial Advisor to join our team. As a Financial Advisor, you will be responsible for providing comprehensive financial advice and guidance to clients, helping them achieve their financial goals. You will utilize your expertise in investment management, financial sales, tax planning, and wealth management to assist clients in making informed financial decisions. Duties: - Conduct thorough financial assessments of clients' current financial situations - Develop personalized financial plans based on clients' goals and risk tolerance - Provide recommendations on investment strategies and portfolio management - Assist clients with retirement planning, estate planning, and tax optimization strategies - Educate clients on various financial concepts and products - Monitor and review clients' investment portfolios regularly - Stay up-to-date with market trends, economic indicators, and changes in tax

Location: On site at location listed in job posting SUMMARY: Primarily responsible for completing audit engagement assignments with minimal supervision. The Audit Project Manager is expected to: understand and identify the full range of risks related to processes, regulatory compliance, organization, policy, and technology, evaluate control design adequacy in complex business processes, perform control testing, and document work performed in conformance with internal audit methodology. Essential Duties and Responsibilities Lead the planning, scoping, execution, and reporting of audits based on identified risks Contact with management regarding audit scope, status, and findings Responsible for meeting time and staffing budgets for assigned audits Objective opinion on the adequacy and effectiveness of the system of control Efficiency of performance of the activities being reviewed Prepare work papers that accurately document work performed and support conclusions Adhere to Departmental p

Location: On site in Memphis, TN SUMMARY A Privacy Officer is responsible for developing, implementing, and overseeing an organization's privacy policies and procedures to ensure compliance with data privacy laws and regulations, by monitoring data collection, usage, and disclosure practices, investigating privacy incidents, and educating employees on data privacy best practices; essentially acting as the primary guardian of an organization's sensitive information and individual privacy rights. Must have transferrable skills that demonstrate the knowledge and ability to interpret and vet laws and regulations. Exhibits a sense of urgency, adheres to deadlines (both internal and those required by law) and meets department quality standards for accuracy and completeness of work. ESSENTIAL DUTIES AND RESPONSIBILITIES Policy Development and Implementation: Creates, updates, and maintains comprehensive privacy policies and procedures aligned with relevant privacy laws (e.g., GDPR, CCPA, HIPA

We are looking for Experienced Advisors to join our Team at Southern Financial Group! You've built a successful practice and now you want more. At Prudential Advisors we want to help you grow your business and be a resource to you and your clients. Prudential will provide you with the tools, the products, and a platform to deliver an outstanding client experience. Together, we help you achieve your goals through: Our open architecture platform for client solutions Our competitive payouts Our practice building support We know that making a move is a big decision. We support you by offering financial packages designed to make your transition to Prudential as smooth as possible. Let’s have a confidential conversation today! When joining Prudential Advisors, we offer Pension Enhancement for Top Financial Professionals Prudential Employee Savings Plan (PESP) - 401(k) Cash Balance Pension Plan Medical, Dental, and Vision benefits Robust compensation packages Transition support Practice Build

Job Description: We are seeking a Portfolio Manager to oversee a portfolio of residential properties, acting as the primary liaison between property owners and the management team to ensure optimal property performance, resident satisfaction, and financial success. The Portfolio Manager will build and maintain strong client relationships, provide regular updates on property performance, and recommend strategies to enhance revenue and review owner statements at the end of the month. Responsibilities include overseeing resident management, ensuring timely rent collection, coordinating maintenance and repair projects, and managing compliance with local laws and safety regulations. Key Responsibilities: Prepare reports analyzing property performance, including key metrics such as occupancy, rental income, expenses, and maintenance costs. Provide prompt, accurate responses to investor inquiries while maintaining exceptional customer service. Recommend cost-effective repair strategies aimed