Investment Advisor Jobs in Austin
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Austin
experience at a registered investment adviser, regulator, or compliance consulting firm required
• Working knowledge of compliance testing, US regulatory filings, SEC Rule 206(4)-7, and SEC marketing rules is highly desired
• Ability to work in a fast-paced...
icims.com -
Charles Schwab-Texas
certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS) General understanding of financial holding company, bank, broker:dealer, and investment advisory businesses, as well as testing standards/methodologies Familiarity...
tiptopjob.com -
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