Cetera Financial Group jobs

At NFG, an affiliate of Cetera Financial, we are seeking an experienced and dynamic Regional Sales and Relationship Manager to lead and drive sales growth in our Life, Annuity, Long Term Care, and Disability Income Divisions. The Regional Sales and Relationship Manager will be responsible for developing strategic relationships, collaborating with a team of sales professionals, and executing business plans to achieve regional sales targets. This role will target the Northwest region of the states. What you will do: • Develop and implement regional sales strategies to meet and exceed sales goals. • Support, guide, and collaborate with a regional sales team to drive performance and growth. • Build and maintain strong relationships with key distribution partners, producers, and advisors. • Analyze market trends to identify new business opportunities and areas for growth. • Provide training, support, and guidance on Life, Annuity, LTC, and DI concepts and products to the sales team and partners. • Collaborate with internal departments to ensure seamless product delivery and advisor/producer satisfaction. What you need to have: • Minimum of 6+ years of experience in insurance and/or annuity sales, with proven leadership skills. • Strong knowledge of insurance and annuity products, industry regulations, and market trends. • Excellent communication, negotiation, and interpersonal skills. • Ability to travel within the assigned region. • FINRA Series 6/7 and 63 required. Compensation: The base annual salary for this role is $60,000, plus a competitive performance-based bonus and a generous incentive compensation package. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote

What is the opportunity? The Registrations Specialist is responsible for handling all aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across all business lines. This role is a fully remote (work from home) opportunity. What will you do? Prepare and submit all initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities Coordinate the submission of branch and entity registration forms, and termination submissions for various firm departments Process consent and disclosure checks for all potential new hires who will be associated to the US broker-dealer Process initial Form U4s and relicense transfers for registered employees who join RBC Capital Markets, LLC and its affiliates Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal reviews/investigations Communicate with FINRA, NFA and the various state regulators to follow-up on any applicable registrations matters Research and correct licensing deficiencies Complete Form U4 updates as applicable for name changes, address changes and outside business activities Amend Form U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events. Prepare and submit Form 8R filings as applicable Process Form U5 filings as applicable File Form U4 amendments requesting qualifying examinations on the FINRA Gateway System Track Regulatory Element continuing education and escalate when necessary Submit individuals for NFA Proficiency exams, track completion and generate weekly reporting Maintain and reconcile the various registration databases and prepare registration reports as needed Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business What do you need to succeed? Must-have Bachelor's Degree or equivalent work experience 2-4 years of experience in banking or financial services Nice-to-have Working knowledge of MS Office (Word, Excel, PowerPoint) FINRA Gateway Form ADV, MSRB/Edgar and NFA ORS Strong interpersonal skills and ability to handle situations that may require escalation Problem solving abilities, customer service orientation with a high degree of professionalism What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off. Leaders who support your development through coaching and managing opportunities. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high-performing team. Opportunities to do challenging work. Opportunities to build close relationships with clients. For Minnesota: The expected salary range for this particular position is $45,000-75,000, depending on your experience, skills, and registration status, market conditions and business needs. You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals. RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: Drives RBC's high-performance culture Enables collective achievement of our strategic goals Generates sustainable shareholder returns and above market shareholder value Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking Additional Job Details Address: 250 NICOLLET MALL:MINNEAPOLIS City: Minneapolis Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-10-10 Application Deadline: 2025-11-28 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

The Investment Manager Services Division (IMS) at SEI is growing rapidly and is seeking new members on our Alternative Investment Funds team. Our primary goal is to provide exceptional customer service and administration servicing for our clients' assigned hedge and private equity funds. As a Fund Accounting Supervisor, you will act as an intermediary between the funds and their investment managers and serve as the official record keeper for the funds. You will also train and supervise the accounting analysts on the team. What you will do: Your skills in accounting will be used by pricing and maintaining timely records for hedge and private equity holdings using various external pricing resources. You will perform timely reconciliations regarding Net Asset Values and provide accounting reports. You are responsible to communicate the transactions associated with the fund(s) and work closely with internal and external clients to provide accurate and thorough accounting packages. As the record keeper for the fund, you will be involved in the coordination and support of various year-end audit engagements in accordance with GAAP accounting standards. We will need you to perform due-diligence to ensure clients are in compliance with government laws and regulations. You will train and supervise the accounting analysts on systems, processing, procedures, and job responsibilities. You will assist in managing a team environment that encourages self-motivation, organization and drive to complete multiple client deliverables in a timely manner without sacrificing excellence or quality. Your due diligence and attention to detail during the review process of the fund accountant analysts work will be key to your team's success while striving for error free reconciliations and reporting. You will correspond with external investment managers regarding day-to-day fund inquiries including reconciliations, coordinating scheduled deliverables, and escalation concerns. Client engagement and a dedication to quality service is a must for success. You will assist the manager with conducting performance appraisals, monthly one-on-ones with the team analysts and provide career pathing and training. You will also ensure staffing requirements are met by participating in analyst interviews. You will team with the manager to provide and foster a team environment to include individual development, promotions and disciplinary action. We want you to succeed and look for future solutions! Through attending and participating in various IMS and corporate professional development sessions, you will acquire the tools to identify processes across the division and organization. You will have the opportunity to partner with a diverse team and grow your career. What we need from you: BA / BS in Business, Accounting, Finance, Economics, Mathematics or equivalent professional experience. Minimum 2 years experience in the fund services industry, alternatives experience preferred. Intermediate skills in Microsoft Excel. The self-motivation, organization and drive to complete multiple client deliverables in a timely manner without sacrificing excellence or quality. Strong written and verbal communication skills as you will primarily support your clients through email and/or phone calls. Strong customer service skills as you will be communicating daily with your clients and other service providers. What we would like from you: A drive to broaden one's knowledge of the financial services industry by learning new concepts and systems and taking the initiative to apply it to daily work assignments. Attention-to-detail to ensure that all deliverables consistently meet the highest standard of quality and accuracy Collaboration with internal and external stakeholders. As the needs of our clients change, we need to be flexible to change with them. Positivity and collegial approach in assisting both colleagues and clients and the ability to work in team environment. Curiosity, critical thinking and attention to detail: Whether it's to identify a solution to a problem or possibly help implement a more efficient process or procedure, your skills have a place in our business. Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information. ********************* Compensation: The base salary pay for this role is $70,000 - $112,000 per year. This position will also be eligible to earn a discretionary bonus each year, subject to company approval. Work Location: Remote SEI's competitive advantage: To help you stay energized, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, a strong retirement plan, tuition reimbursement, a hybrid working environment for most roles, support for working parents and flexible Paid Time Off (PTO) so you can relax, recharge and be there for the people you care about. Benefits include healthcare (medical, dental, vision, prescription, wellness, EAP, FSA), life and disability insurance (premiums paid for base coverage), 401(k) match, education assistance, commuter benefits, up to 11 paid holidays/year, 21 days PTO/year pro-rated for new hires which increases over time, paid parental leave, back-up childcare arrangements, paid volunteer days, a discounted stock purchase plan, investment options, access to thriving employee networks and more. We are a technology and asset management company delivering on our promise of building brave futures (SM)-for our clients, our communities, and ourselves. Come build your brave future at SEI. SEI is an Equal Opportunity Employer and so much more… After over 50 years in business, SEI remains a leading global provider of investment processing, investment management, and investment operations solutions. Reflecting our experience within financial services and financial technology our offices encompass an open floor plan and numerous art installations designed to encourage innovation and creativity in our workforce. We recognize that our people are our most valuable asset and that a healthy, happy, and motivated workforce is key to our continued growth. At SEI, we're (literally) invested in your success. We offer our employees paid parental leave, back-up childcare arrangements, paid volunteer days, education assistance and access to thriving employee networks. SEI is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. AI Acceptable Use in the application and interview process: SEI acknowledges the growing integration of artificial intelligence (AI) tools into individuals' personal and professional lives. If you intend to incorporate the use of any AI tools at any stage of the application and/or interview process, please, please ensure you have reviewed and adhere to our AI use guidelines.

What You'll Be Doing The Senior Operations Analyst brings extensive operations expertise on a variety of subject matters including reconciliation, corporate actions processing, security master setup & maintenance, account setup & maintenance and performance calculations. The Senior Operations Analyst has in depth knowledge of the 1919ic specific workflows required to support the client facing Portfolio Management teams throughout a variety of special projects. What We're Looking For •Support daily position and transaction reconciliation of Advent, APX, and custodian banks. •Process Corporate actions for securities held including cash and stock dividends, splits, mergers, and acquisitions. •Assist with GIPS composite maintenance and verification process •Establish and maintain security master data. •Calculate, reconcile and analyze performance data. •Support and create client reports in a timely & accurate fashion. •Provide expertise and support for trading, portfolio accounting, and analytics systems. •Participate or lead special projects to improve workflows within 1919ic's Operations or Client Facing teams. •Provide training and leadership to new employees in areas of expertise. What You'll Bring •Intermediate to advanced knowledge of financial instruments (equities, fixed income, options, swaps, futures, foreign exchange) within both the domestic and global security markets. •Knowledge and familiarity with the financial markets. •Intermediate to advanced expertise within Factset, Bloomberg, and/or Advent suite of products. •Strong analytical skills, service oriented, excellent interpersonal and communication skills, strong organization skills and attention to detail, self-motivated, and able to multi-task in an independent and timely manner. Education & Experience •Minimum Required: Bachelor's Degree in Finance, Economics, or related field •Minimum Required: 3-5 years' related experience Licenses & Credentials •Minimum Required: None •Preferred: Certificate in Investment Performance Measurement (CIPM) designation, or prior experience with GIPS composite performance Systems & Technology •Proficient in Microsoft Word, PowerPoint, Outlook •Advanced in Microsoft Excel #LI-JK1 Compensation Range Salary: USD $88,000.00/Yr. - USD $132,000.00/Yr. Actual salaries may vary, and may be based on several factors, including but not limited to each candidate's qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel's overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel's current offerings, please visit **************************************** Applications are accepted until the position is filled. About Stifel 1919 Investment Counsel, a wholly owned subsidiary of Stifel Financial Corporation, provides investment management and financial planning services to wealthy individuals, families, trusts, foundations, and institutions. 1919 Investment Counsel manages more than $24 billion of client assets and has offices in Baltimore, Birmingham, Cincinnati, New York, San Francisco, Philadelphia and Vero Beach. 1919 Investment Counsel has a team of portfolio managers, research analysts and client service professionals that work together to construct investment portfolios that are tailored to each client's specific needs and objectives and to deliver tailored solutions that preserve, build and manage wealth for 1919 Investment Counsel's clients. The firm primarily serves high net worth clients which often require complex financial planning and advice as well as exceptional client service. 1919 Investment Counsel is an Equal Opportunity Employer.

Under direct supervision, uses general knowledge and skills obtained through training and experience to assist financial advisors with marketing efforts. General instructions and procedures are provided to perform routine standardized tasks. **Essential Duties and Responsibilities** + Assists with processing mass mailings. + Contacts prospective and existing clients to offer services or invite them to seminars. + Sends prospective and existing clients introductory letters, marketing materials, thank you letters, requests for referrals, etc. + Coordinates seminars including scheduling, room set-up, menu planning, audio visual aids, and marketing materials. + Sets up and confirms appointments. + Obtains and maintains "leads" lists. + Updates client relationship management system. + Performs a variety of administrative functions, including data entry. + Performs other duties and responsibilities as assigned. **Knowledge of** + Company's working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Basic principles and practices of customer relations, marketing and communications. **Skill in** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases + Gathering, compiling and updating information and maintaining distribution lists **Ability to** + Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. + Provide a high level of customer service **Education/Previous Experience** - High School Diploma or equivalent and 0-2 years in general office experience in a financial services environment or related work experience required. - OR ~ - An equivalent combination of experience, education, and/or training as approved by Human Resources. **Licenses/Certifications** - None required

Description What we need: This role supports the Registered Financial Services Sales Representative's business with day-to-day administrative assistance while enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow the incumbent to expand the client support provided to the Representative. What you will do: Act as a liaison between the representative and their clients. The type of support is dictated by whether the incumbent is FINRA licensed. As directed by the representative, based on client needs, run product illustrations, graphs, charts, etc. for presentation to the client by the representative. Provide clerical support including the mailing of approved correspondence, photocopying, answering the representative's telephone and communicating messages. Maintain representative's file organization. What you will learn: Products and services including Mutual Funds, Annuities and Life Insurance, Retirement products including IRAs and 403(b)s College funding products including ESAs and 529 plans Asset allocation strategy Time value of money Prospecting and telephone techniques (if you become FINRA licensed) Compliance training What you need to have: High School diploma or equivalent Some college preferred FINRA licensing required (S6/S63/Life/Health) with in 12months of hire. Training will be provided. Strong verbal communication skills with a customer-service focus Strong organizational skills Ability to meet deadlines Proficient use of Microsoft Office including Word, Excel and PowerPoint What you should expect: We are a fast-paced but fun environment where you can expect to learn a great deal and can feel good about making a positive difference in the financial lives of individuals across the country. Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years. About Cetera Investors and Cetera Financial Group Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, First Allied Securities and Summit Brokerage Services. Please Note: Cetera does not accept unsolicited Agency resumes. Any unsolicited resumes received from Agencies will be considered property of Cetera unless specifically requested by Human Resources. Unsolicited resumes will be ineligible for referral fees.

The Director of HR Management Systems serves as a strategic leader within the HR Transformation team, responsible for driving the vision, governance, and execution of Workday-related initiatives across the enterprise. This role leads a high-performing team in optimizing HR systems and processes, ensuring alignment with organizational goals and future workforce needs. With deep expertise in Workday and HR technology, the Director oversees complex project portfolios, develops tactical resource plans, and ensures robust stakeholder engagement. The role demands a forward-thinking strategist who can anticipate challenges, manage risk, and deliver scalable solutions that enhance operational efficiency and employee experience. Key to success in this role is the ability to lead cross-functional teams, foster a culture of accountability and continuous improvement, and serve as a subject matter expert in HR systems and project management. Responsibilities: Lead the development and implementation of strategy for the HR functions of Workday, anticipating complex issues, challenges, and opportunities and ensuring integration with wider functional strategy. Develop tactical plans for optimizing resources and assets across the HR Management Systems team, a group within the broader HR Transformation team. Initiate and lead the governance and delivery of a program or group of significant projects within a function, using an appropriate project management methodology to give assurance that intended outcomes are identified and achieved. Oversee the production of project plans and approve them, ensuring that all activities are identified, are appropriately organized. Ensure that roles and responsibilities are clearly defined within the project-delivery and project-management office teams, and ensure project compliance with the function's decision-making structures and processes. Develop and propose annual business plans for the department, ensuring alignment with strategy. Recommend key performance indicators (KPIs) and schedule key activities/projects, ensuring integration with other elements of the organization. Identify and manage stakeholders up to and including management level, finding out their needs, issues, and concerns and reacting to them by leading and coordinating the development of stakeholder engagement plans to support the communication of business information and decisions. Manage and report on performance within the department and areas of responsibility; set appropriate performance objectives and hold individuals accountable for achieving them; Evaluate the capabilities of staff within the department to identify gaps and prioritize development activities. Coach and mentor others to support the development of the organization's talent pool. Act as subject matter expert in an area of technology, policy, regulation, and operational management for the team and beyond in the function. Maintain external accreditations and in-depth understanding of current and emerging technologies, external regulation, and industry best practices through continuing professional development, attending conferences, and reading specialist media. Skills: Plans and prioritizes work to meet commitments aligned with organizational goals. Holds self and others accountable to meet commitments. Sees ahead to future possibilities and translates them into breakthrough strategies. Anticipates and balances the needs of multiple stakeholders. Knows the most effective and efficient processes to get things done, with a focus on continuous improvement. Develops and delivers multi-mode communications that convey a clear understanding of the unique needs of different audiences. Builds strong customer relationships and delivers customer-centric solutions. Adapts approach and demeanor in real time to match the shifting demands of different situations. Builds partnerships and works collaboratively with others to meet shared objectives. Provides direction, delegating, and removing obstacles to get work done. Monitors, interprets and understands policies and procedures and ensure their alignment with organizational strategies and work objectives. Plans and manages small project work assignments within desired time and quality parameters. Determines and analyzes trends from data that is collected to assist in compiling reports that will help in decision-making. Obtains consensus between two or more parties who may have different interests, for the benefit of the organization. Identifies, selects, and manages the oversight of projects, programs, and portfolios, including standardized policies and procedures, escalation, decision making, change control, prioritization, and approval processes. Builds the structure and culture of the project team, and defines roles and responsibilities within that structure to enable the achievement of project mission and objectives and the effective operation of key business processes. Plans, identifies, monitors, analyzes, and prioritizes risks (threats and opportunities), creates response plans, and manages the risk if it occurs. Orients work in a workflow to plan, organize, and execute the steps it takes to achieve higher efficiencies. Represents enterprise processes, so that the current process may be analyzed, improved, and automated. Estimates each of the components of a project, including costs, activity durations, resource needs, risks, stakeholders, etc. across the life of the project. Identifies, acquires, and manages the resources for the project. Works at an advanced level to identify, sequence, and resource project schedules for timely completion. Education Master's Degree or equivalent work experience Work Experience Managerial Experience - 6 to 10 years Experience with Workday required Configuration experience with HCM and Security functions strongly desired HR systems administration experience required Education Bachelor's (Required), Master's Work Experience General Experience - 10 to 15 years Certifications PMI Project Management Professional (PMP) - Project Management Institute (PMI) Salary Range $130,000.00-$160,000.00 Travel Less than 25% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

**Essential Duties and Responsibilities** + Service daily client inquiries over the phone and in-person, including scheduling meetings and greeting clients + Work both independently and within a dynamic team environment to provide administrative support to the financial advisors and branch office + Open new client accounts, process money movement, and research information as needed + Ensure client paperwork and documentation is accurate prior to submission and processing Follow up to ensure accurate completion + Prepare various business summary reports and client-specific reporting as needed for review by the financial advisor + Create and maintain records and files utilizing Client Relationship Management (CRM) software + Actively engage in available training/cross-training and educational and/or professional development opportunities to remain current on industry policies and procedures + Performs other duties and responsibilities as assigned **Knowledge, Skills, and Abilities** **Knowledge of** + Company's working structure, policies, mission, and strategies + General office practices, procedures, and methods + Basic investment concepts, practices and procedures used in the securities industry + Financial markets, products and industry regulations **Skill in** + Client Relationship Management (CRM) software + Microsoft Office + Effective communication (in-person, virtual, phone and mail) **Ability to** + Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases + Analyze and research account information + Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment + Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns + Provide a high level of customer service in a calm and professional manner + Use mathematics sufficient to process account and transaction information + Use appropriate interpersonal styles and communicate effectively + Work both independently and as part of a team + Provide a high level of customer service + Proactively anticipate client needs and strengthen relationships.

This role serves as a strategic contributor within the HR Transformation team, responsible for driving the vision, governance, and execution of Workday-related initiatives across the enterprise. The position plays a key part in optimizing HR systems and processes, ensuring alignment with organizational goals and future workforce needs. With deep expertise in Workday and HR technology, the role may oversee or contribute to complex project portfolios, develop tactical resource plans, and ensure robust stakeholder engagement. Success in this position requires a forward-thinking mindset, the ability to anticipate challenges, manage risk, and deliver scalable solutions that enhance operational efficiency and employee experience. Key to success is the ability to lead or collaborate with cross-functional teams, foster a culture of accountability and continuous improvement, and serve as a subject matter expert in HR systems and project management. Responsibilities Contribute to the development and implementation of strategy for HR functions within Workday, anticipating complex issues, challenges, and opportunities, and ensuring integration with broader functional strategy. Develop tactical plans for optimizing resources and assets across the HR Management Systems team, a group within the broader HR Transformation team. Initiate and support governance and delivery of programs or significant projects using appropriate project management methodologies to ensure intended outcomes are identified and achieved. Oversee or support the production of project plans, ensuring all activities are identified and appropriately organized. Ensure roles and responsibilities are clearly defined within project-delivery and project-management office teams, and ensure project compliance with decision-making structures and processes. Develop and propose annual business plans for the department, ensuring alignment with strategy. Recommend key performance indicators (KPIs) and schedule key activities/projects, ensuring integration with other elements of the organization. Identify and manage stakeholders, finding out their needs, issues, and concerns, and reacting to them by leading or coordinating stakeholder engagement plans to support communication of business information and decisions. Manage and report on performance within areas of responsibility; set appropriate performance objectives and hold individuals accountable for achieving them. Evaluate capabilities of team members to identify gaps and prioritize development activities. Coach and mentor others to support the development of the organization's talent pool. Act as a subject matter expert in technology, policy, regulation, and operational management. Maintain external accreditations and in-depth understanding of current and emerging technologies, external regulation, and industry best practices through continuing professional development. Skills Plans and prioritizes work to meet commitments aligned with organizational goals. Holds self and others accountable to meet commitments. Sees ahead to future possibilities and translates them into breakthrough strategies. Anticipates and balances the needs of multiple stakeholders. Knows the most effective and efficient processes to get things done, with a focus on continuous improvement. Develops and delivers multi-mode communications that convey a clear understanding of the unique needs of different audiences. Builds strong customer relationships and delivers customer-centric solutions. Adapts approach and demeanor in real time to match the shifting demands of different situations. Builds partnerships and works collaboratively with others to meet shared objectives. Provides direction, delegates, and removes obstacles to get work done. Monitors, interprets, and understands policies and procedures and ensures their alignment with organizational strategies and work objectives. Plans and manages project work assignments within desired time and quality parameters. Determines and analyzes trends from data to assist in compiling reports that support decision-making. Obtains consensus between parties with differing interests for the benefit of the organization. Identifies, selects, and manages oversight of projects, programs, and portfolios, including standardized policies and procedures, escalation, decision making, change control, prioritization, and approval processes. Builds the structure and culture of project teams and defines roles and responsibilities to enable achievement of project objectives and effective operation of key business processes. Plans, identifies, monitors, analyzes, and prioritizes risks, creates response plans, and manages risks as they occur. Orients work in a workflow to plan, organize, and execute steps to achieve higher efficiencies. Represents enterprise processes to enable analysis, improvement, and automation. Estimates components of a project, including costs, activity durations, resource needs, risks, stakeholders, etc. Identifies, acquires, and manages resources for projects. Works at an advanced level to identify, sequence, and resource project schedules for timely completion. Work Experience Experience with Workday required Configuration experience with HCM and Security functions strongly desired HR systems administration experience required Managerial experience preferred for leadership roles (6 to 10 years) Education Bachelor's: Accounting, Bachelor's: Data Processing, Master's (Required) Work Experience General Experience - 10 to 15 years Certifications PMI Project Management Professional (PMP) - Project Management Institute (PMI) Salary Range $130,000.00-$160,000.00 Travel Less than 25% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Why Stifel Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole. Let's talk about how you can find your place here at Stifel, where success meets success. What You'll Be Doing At Stifel, Senior Associates/Junior Vice Presidents are primarily responsible for acting as the keystone of all project teams, serving as a project manager taking guidance from senior bankers and managing and mentoring Analysts. Senior Associates/Junior Vice Presidents work on small, client-focused teams within the Corporate Finance and M&A disciplines. We offer a unique environment which combines a highly entrepreneurial platform focused on emerging growth companies with significant analytical rigor. We will consider candidates for the New York and Baltimore offices. What We're Looking For * Play a critical role as the project manager on teams to manage the deal process from origination to close * Develop integrated financial models and related valuation analyses * Participate in M&A, corporate finance (debt, public, and private equity) and restructuring assignments * Prepare valuations, write memorandums for M&A and private placement processes, conduct M&A analyses, and participate in due diligence and drafting sessions for public and private offerings * Mentor junior staff and target areas for their development * Work on multiple projects and transactions at any given time What You'll Bring * Strong ability to work in an entrepreneurial culture * Ability to manage, from start to finish, financing and M&A transactions * Excellent analytical, modeling, and client management skills * Exercises good judgment in assessing risks and rewards of new business opportunities Education & Experience * Minimum Required: Bachelor's degree in Finance or related field * Minimum Required: 5-7 years post-undergraduate work experience in investment banking. Licenses & Credentials * Minimum Required: None Systems & Technology * Proficient in Microsoft Excel, Word, PowerPoint, Outlook Compensation Range Salary: USD $175,000.00/Yr. - USD $250,000.00/Yr. Actual salaries may vary, and may be based on several factors, including but not limited to each candidate's qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel's overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel's current offerings, please visit **************************************** Applications are accepted until the position is filled. About Stifel Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success. While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success. At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off. Stifel is an Equal Opportunity Employer.

The Fraud Governance Manager plays a key role in the oversight and strategic coordination of the firm's fraud risk management framework. This role is responsible for supporting enterprise-wide fraud governance activities, including policy and standard development, risk assessments, regulatory response, and fraud risk monitoring. This role requires one to work independently on assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions, while partnering with key stakeholders within and beyond the department. The ideal candidate will bring strong analytical, organizational, and communication skills, with a deep understanding of fraud risk, regulatory expectations, and governance best practices. Essential Duties and Responsibilities Support the development, maintenance, and enhancement of enterprise-level fraud-related policies, standards, and procedures. Coordinate and contribute to the execution of internal and external fraud risk assessments, including identity theft risk assessments, as well as administration of next steps to resolve areas deemed in need of improvement. Compile, monitor and report on key risk indicators (KRIs) and key performance indicators (KPIs) related to fraud risk across the enterprise. Assist in the administration of the firm's Enterprise Fraud Risk Management Committee, including agenda development, materials preparation, minutes, and follow-up tracking. Participate in the firm's regulatory change management process, ensuring fraud-related requirements are identified, assessed, and implemented. Organize and support the firm's response to regulatory exams, inquiries, and audits related to fraud risk management. Contribute to the oversight of global business units' fraud risk management practices, including periodic reviews and coordination of working groups. Assist in the management of issues and corrective actions related to fraud risk, ensuring timely resolution and documentation. Represent the Fraud Governance team in internal and external fraud working groups and cross-functional initiatives. Maintain awareness of emerging fraud risks, regulatory developments, and industry best practices to inform governance activities. Collaborate with stakeholders across Fraud, Analytics, Compliance, Legal, Risk, Operations, Technology, and business units to ensure alignment and effective execution of fraud governance responsibilities. Lead and support special projects. Performs other duties and responsibilities as assigned. Knowledge of Fraud risk governance frameworks and regulatory expectations (e.g., BSA/AML, Reg E, Reg S-ID). Enterprise risk management principles, including KRIs, KPIs, and risk assessments. Internal & external fraud risk typologies. Financial services operations, products, and transaction channels. Regulatory change management and exam response processes. Concepts, practices and procedures of securities industry and/or banking compliance reviews. Fundamental investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Familiarity with project management terminology and processes. Skill in Policy and procedure development and documentation. Risk analysis, reporting, and performance monitoring. Cross-functional collaboration and stakeholder engagement. Written and verbal communication, including executive-level reporting. Analytical skills with the ability to solve complex problems, analyze large amounts of data and execute on solutions. Project management and process improvement. Planning and scheduling work to meet regulatory, organizational and regulatory requirements. Identifying and applying appropriate compliance monitoring procedures and tests. Preparing oral and/or written reports. Making risk-based and analytical decisions. Operating standard office equipment and using required software applications. Ability to Work independently and manage multiple priorities in a dynamic environment. Interpret, analyze, and apply complex regulatory, industry, and operational information and translate it into actionable governance practices. Build strong relationships across business units and control functions. Maintain confidentiality and exercise sound judgment in sensitive matters. Contribute to a culture of integrity, accountability, and continuous improvement. Develop policies, standards, guidelines and procedures based on in-depth knowledge of regulatory requirements and industry standards as well as Raymond James services, products, and strategic priorities. Implement solutions, working with various internal business units throughout Raymond James. Optimize work processes, multitask and handle multiple projects with demonstrated follow-through. Identify and enhance opportunities within the firm's fraud risk management practices. Work independently as well as collaboratively within a team environment. Establish and maintain effective working relationships across the organization. Licenses/Certifications CFE required Travel Required: Yes, 10 % of the Time Education Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance Work Experience General Experience - 3 to 6 years Certifications Certified Anti-Money Laundering Specialist (CAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS) Salary Range $100,000.00-$110,000.00 Travel Less than 25% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches. Job Description Essential Duties and Responsibilities Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country Detailed documentation of testing in branch exam system and related work papers Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested Use professional judgement to know when to “ask the next question” as potential risk areas are identified Apply the appropriate risk weight to a given testing activity and/or finding level Clear communication of all exam findings to branch management, exam managers and compliance leadership Provide reporting of exam findings and complete any related follow up in a timely manner Ensure risks and adverse trends are identified and escalated Provide compliance support to business partners, as needed Maintain regular interaction with Compliance and Supervision partners Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner Provide guidance and mentoring to less-experienced peer group members Knowledge, Skills, and Abilities Advanced knowledge of: Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams Rules and regulations of the SEC, FINRA, and state securities regulatory agencies Fundamental investment concepts, practices, and procedures used in the securities industry Financial markets and products Skill in: Thorough and balanced documentation of work product Clear, concise, cross-functional communications, both written and oral Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program Building strong relationships based on mutual respect, trust, and understanding Establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback Delivering difficult messages with sensitivity, tact, and diplomacy Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation Problem-solving in a complex environment Effectively navigating the organization to obtain information and achieve objectives Demonstrated proficiency in Microsoft Word and Excel Ability to: Work under pressure on multiple tasks concurrently in a fast-paced work environment Manage time exceptionally well and remain highly organized Gain a thorough understanding and application of PCG policies and procedures Shift focus from one activity to another without impacting the quality of the work Constructively handle disagreements or conflicts to reach a resolution Apply industry experience to proactively identify and anticipate existing and emerging compliance risks Work well independently, but also collaboratively with the team Educational/Previous Experience Requirements: Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications: • Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe. o Required to have a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 • Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Salary Range $80,000.00-$95,000.00 Travel Up to 50% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1

Under limited supervision, uses extensive knowledge and skills obtained through education and experience to support the business of financial advisors by developing client pipelines through prospecting, networking, community involvement, centers of influence and developing niches to meets specific marketing and sales goals. Works independently on difficult assignments that are broad in nature, requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Resolves or recommends solutions to complex questions and problems. Extensive contact with internal and external customers is required to establish and maintain relationships that lead to creating new business. **Essential Duties and Responsibilities** - Initiates outbound sales calls and responds to incoming calls and inquiries, including follow-up, sending out materials and obtaining and evaluating background information. - Participates in professional organizations and activities to expand network of business contacts. - Establishes and maintains a prospect database. - Works independently in sourcing and developing new client relationships to enable financial advisors to meet sales goals. - Assists in developing product oriented positioning documents, product profiles, competitive analysis and other content for web sites, marketing materials and seminars. - Gathers, analyzes, interprets and distributes information on sales trends, product demand and marketing strategies for assigned products. - Supports marketing programs and assists others in developing a clear, compelling and differentiated message and position for assigned products. - Participates in advisor and client seminars, product road shows, branch presentations, conference calls, point of sale support, and other sales functions on behalf of the financial advisors. - Executes business development strategies on behalf of the branch. - Gathers information and data on prospects to be used in the sales process. - Follows-up with financial advisors to ensure high quality service delivery. - Performs other duties and responsibilities as assigned. **Knowledge of** - Concepts, practices and procedures of business development in a financial services/broker-dealer environment. - Investment concepts, practices and procedures used in the securities industry. - The principles of banking and finance and securities industry operations. - Financial markets, products, financial advisory function and the investment process. **Skill in** - Sourcing and developing sales prospects. - Executing practice development strategies. - Sourcing and developing sales prospects and referral sources. - Initiating sales calls and responding to inquiries and turning them into sales opportunities. - Establishing and maintaining databases. - Preparing and delivering clear, effective, and professional presentations. **Ability to** - Operate standard office equipment and use required software applications. - Partner with other functional areas to accomplish objectives. - Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. - Incorporate needs, wants and goals from different prospects for financial advisor practices into marketing and sales strategies. - Gather information, identify linkages and trends and apply findings to assignments. - Research, interpret, analyze and apply information about prospects. - Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. - Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. - Work independently as well as collaboratively within a team environment. - Provide a high level of customer service. - Maintain currency in financial services industry and products. **Education/Previous Experience** - Bachelor's Degree (B.A.) from a four year college or university with a minimum of two (2) years of experience in marketing or sales in a financial planning, investment management or other financial services environment. - OR ~ - An equivalent combination of experience, education, and/or training as approved by Human Resources. **Licenses/Certifications** - SIE required provided that an exemption or grandfathering cannot be applied. - Series 7 required.

The Equipment Finance Relationship Manager will execute the Equipment Finance Direct Corporate Sales Strategy, directly sourcing transactions from middle market to large-sized business within the Midwest territory. Successful candidates will generate loan and tax lease new business opportunities for TriState Capital Equipment Finance line of business. The Relationship Manager is responsible for sourcing and evaluating new business opportunities from customers that comply with the Bank's risk appetite, managing the onboarding process, and overseeing the pricing and structuring of all potential transactions. The Officer assists in the underwriting, due diligence, closing, and monitoring of lending and leasing transactions Primary Functions of the Position: Maintains a scheduled calling program with clients and prospects to actively sell Equipment Finance (EF) services Identifies and addresses areas of competition, as well as potential new markets in assigned areas that would maximize the volume and earnings of the direct corporate EF portfolio. Manage an assigned territory and travel to assigned Markets on a regular basis to establish and maintain direct relationships with clients and Commercial Banking Teams. Targets calling efforts directed towards financial executives, or other C-Suite officers, of privately owned or publicly owned companies with revenues of $25MM+ Originate loan and lease equipment finance transactions ranging from $2MM - $15MM to meet the Bank's risk appetite, and internal policies and procedures that govern lending and leasing. Partners with Relationship Managers on Bank referrals to structure proposed transactions, obtain approval, endorse the transaction, and close the transaction. Works directly with Senior Management and internal partners in Bank Operations, Credit Management, and Legal throughout the process Maintains current EF clients within the assigned Bank territories by profiling, generating new leases, and replacing old leases. Leads calls with the product or service that is most appropriate to the client's situation based on knowledge of business, with emphasis on leasing Attains or exceeds annual assigned budgets for volume and fees Analyzes client's financial information available through company systems to assess and summarize risk information of client's equipment financing strategy Manages all actives in CRM, keeping a business pipeline current and pending items / activities up to date Attends Bank meetings in assigned regions to provide training and regularly participate in joint calls Education and Experience Requirements: Bachelor's Degree in a Finance-related field, or equivalent combination of education and related training Minimum 10 years of combined experience in finance or corporate sales; experience in the Equipment Finance banking market preferred Essential Skills and Abilities: Knowledge of the principles of equipment financing structure, credit analysis and tax law Responsible for growing TriState Capital's business presence and market share in the designated market, and within TriState Capital's targeted segments; Proficient in most aspects of business finance; demonstrated knowledge of credit products and structuring Proficient in managing large and complex corporate relationships Ability to use a Loan Pricing Model in conjunction with general industry knowledge Demonstrated complex contact negotiation/creation skills. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products Excellent interpersonal, analytical, and organizational skills Excellent verbal and written communication skills Willingness and ability to travel within assigned territory as required Highly energetic with a strong desire to succeed in adverse situations Possess an innovative, courageous approach to problem-solving and market analysis Possess a high standard of personal accountability in meeting assigned sales objectives Education Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance Work Experience General Experience - 3 to 6 years Certifications Salary Range $100,000.00-$200,000.00 Travel Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

What You'll Be Doing The Senior Operations Analyst brings extensive operations expertise on a variety of subject matters including reconciliation, corporate actions processing, security master setup & maintenance, account setup & maintenance and performance calculations. The Senior Operations Analyst has in depth knowledge of the 1919ic specific workflows required to support the client facing Portfolio Management teams throughout a variety of special projects. What We're Looking For * Support daily position and transaction reconciliation of Advent, APX, and custodian banks.•Process Corporate actions for securities held including cash and stock dividends, splits, mergers, and acquisitions.•Assist with GIPS composite maintenance and verification process•Establish and maintain security master data.•Calculate, reconcile and analyze performance data.•Support and create client reports in a timely & accurate fashion.•Provide expertise and support for trading, portfolio accounting, and analytics systems.•Participate or lead special projects to improve workflows within 1919ic's Operations or Client Facing teams.•Provide training and leadership to new employees in areas of expertise. What You'll Bring * Intermediate to advanced knowledge of financial instruments (equities, fixed income, options, swaps, futures, foreign exchange) within both the domestic and global security markets.•Knowledge and familiarity with the financial markets.•Intermediate to advanced expertise within Factset, Bloomberg, and/or Advent suite of products.•Strong analytical skills, service oriented, excellent interpersonal and communication skills, strong organization skills and attention to detail, self-motivated, and able to multi-task in an independent and timely manner. Education & Experience * Minimum Required: Bachelor's Degree in Finance, Economics, or related field•Minimum Required: 3-5 years' related experience Licenses & Credentials * Minimum Required: None•Preferred: Certificate in Investment Performance Measurement (CIPM) designation, or prior experience with GIPS composite performance Systems & Technology * Proficient in Microsoft Word, PowerPoint, Outlook•Advanced in Microsoft Excel #LI-JK1 Compensation Range Salary: USD $88,000.00/Yr. - USD $132,000.00/Yr. Actual salaries may vary, and may be based on several factors, including but not limited to each candidate's qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel's overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel's current offerings, please visit **************************************** Applications are accepted until the position is filled. About Stifel 1919 Investment Counsel, a wholly owned subsidiary of Stifel Financial Corporation, provides investment management and financial planning services to wealthy individuals, families, trusts, foundations, and institutions. 1919 Investment Counsel manages more than $24 billion of client assets and has offices in Baltimore, Birmingham, Cincinnati, New York, San Francisco, Philadelphia and Vero Beach. 1919 Investment Counsel has a team of portfolio managers, research analysts and client service professionals that work together to construct investment portfolios that are tailored to each client's specific needs and objectives and to deliver tailored solutions that preserve, build and manage wealth for 1919 Investment Counsel's clients. The firm primarily serves high net worth clients which often require complex financial planning and advice as well as exceptional client service. 1919 Investment Counsel is an Equal Opportunity Employer.

Attention finance, insurance, and sales professionals-are you ready to take on a position that challenges your skills and rewards your performance? Cetera Financial Institutions is looking for motivated and capable individuals to fill the role of a Managed Financial Professional. With a strong focus on sales and customer service, the Managed Financial Professional should be a true "people person' who enjoys developing professional and mutually beneficial relationships with a wide variety of customers. Candidates should be self-motivated and driven to exceed expectations in all that they do. What you will do: * The Managed Financial Professional position is responsible for meeting with current and potential bank customers to help determine the best way to serve those customers' investment planning goals. Get more out of your career with a company that invests in YOUR success - Welcome to Cetera! * The Financial Professional will proactively develop a client base to which appropriate wealth management products can be sold. Duties will include: * Collecting and analyzing information regarding the customer risk tolerance, long- and short-term goals, income, assets, investments, and debts; determining which products best meet the customer needs and circumstances * Advising the customer regarding the advantages, risks, and disadvantages of different products * Developing internal referral resources to identify customers * Identifying external prospects and expanding new client relationships * Identifying cross-sell opportunities, including opportunities to refer customers to other lines of bank representatives through proper customer profiling and needs-based selling * Understanding and complying with all aspects of bank and Cetera policies and practices, including laws and regulations governing the duties and responsibilities of product sales * Maintaining all necessary licenses and registrations as required * Successfully completing all mandatory training in a timely manner * Maintaining superior and courteous service to promote products and expand customer relationships * Exceeding customer expectations in terms of accuracy, efficiency, courtesy, and professionalism What you will have: * FINRA Series 7, 63 (Required) * State Life & Health Insurance License of state where applying * Strong sales, marketing, and business development skills * 2 years of experience in finance, insurance and/or banking * High School Diploma or equivalent What is nice to have: * FINRA Series 65, or 66, preferred * Bachelor's degree, preferred #LI-Onsite

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to create new and manage existing relationships with retirement plan specialist, Registered Investment Advisors, financial advisors/brokers and agents to generate required production/sales revenue from service offerings throughout a given territory. Leads projects, programs or processes with significant business impact involving cross-functional teams. Develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Extensive contact with external clients is required to sell service offerings and generate revenue for the company. The Director, Business Development will cover the West Coast Territory to include California, Nevada, Oregon, Idaho, Washington, and Alaska. While this is a remote position, it is a requirement that the Director, Business Development live in the territory. Job Description Essential Duties and Responsibilities: Responsible for building and maintaining relationships with financial advisors to generate revenue within a specific territory. Identify, qualify and engage with retirement plan specialist advisors in territory. Build mutually beneficial, long-term business relationships with retirement plan specialist advisors in territory. Assists with educating financial advisors on the benefits of offered services for their clients through individual or group meetings presentations, including branch visits, seminars, and conferences/trade shows. Developing and implementing business plans for the territory to deliver on sales goals. Presents sales activities at weekly meetings. Maintains activity logs using Salesforce to create and maintain financial advisor profile levels and data on current and proposed sales activity. Achieve territory sales goals. Manages expense account within allotted budget. Performs other duties and responsibilities as assigned. Knowledge of: Fundamental concepts, principles and practices of the company sponsored retirement plan industry. How to build trusted relationships with partners and financial advisors. Skill in: Identifying the needs of plan sponsors through effective questioning and listening techniques. Supporting advisors in efforts to grow their business. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. Preparing and delivering clear, convincing, and professional sales presentations to small and large audiences. Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. Analyzing business processes and identifying process improvement opportunities. Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. Ability to: Represent the company in a highly professional manner. Organize, prioritize, and manage tasks and projects to complete work efficiently. Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals. Develop and maintain effective working relationships with team members, internal partners, and external parties. Assimilate and prioritize strategies into operational guidelines. Work independently as well as collaboratively within a team environment. Establish clear directions and priorities. License/Certifications: None Compensation: Education Bachelor's: Business Administration, Bachelor's: Marketing Work Experience General Experience - 3 to 6 years Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Salary Range $100,000.00-$140,000.00 Travel Less than 25% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AT1

Operating in conjunction with a team of Financial Advisors, use knowledge and skills obtained through education, training and experience to assist financial advisors with coordinating and leading marketing initiatives and community outreach efforts to promote and brand the practice. Utilize appropriate resources to create, present and maintain presentations and proposals for clients and prospects. Essential Duties and Responsibilities Assists with the execution of client focused marketing strategies, maintaining and expanding referral sources including the coordination of target marketing campaigns. Assists in the design and management of the social media and internal marketing platforms for the practice. Research marketing/prospect opportunities to include business/professional associations, community organizations, speaking engagements, seminars and articles submission for publication. Acts as a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with business strategy and brand positioning. Designs, customize and distributes marketing materials, on-going client communication, event invitations, marketing/communication campaigns, pitchbooks and newsletters. Coordinates and executes client/prospecting events, seminars and large scale community events for the practice to include planning, scheduling, speaker selection through vendor relationships, room set-up, menu, A/V requirements, giveaways and marketing initiatives. Maintains client relationship management system prospective client information gathered from events, referrals and internal marketing platforms. Coordinate efforts to gather data and assist Financial Advisors in preparing responses to requests for client proposals. Assist Financial Advisors with on-site presentations to clients and prospects. Calls and/or sends prospective and existing clients introductory letters offering services or inviting them to presentations. If Series 7 licensed: Assist with preparation of presentations and portfolio analyses for High Net Worth and institutional clients, and may assist with client prospecting Performs other duties and responsibilities as assigned. Knowledge of Company's working structure, policies, mission, strategies and compliance guidelines. Advanced investment concepts, practices and procedures used in the securities industry. Client relations management tools. Financial services news and data resources. Principles and practices of marketing and client relations management tools Financial services news and data resource tools General website design and management of various social media platforms Ability to Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communications, spreadsheets, and databases. Gather, compile and update information and maintain client relations management tool. Prepare and deliver clear, effective and professional presentations. Identify the needs of customers through effective questioning and listening techniques. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. Continuously learn investment product. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, within all organizational levels. Keep all appropriate parties up-to-date on decisions, changes and other relevant information. Establish and maintain effective working relationships with others. Provide high level of customer service. Self-motivated and able to work independently as well as within a dynamic team environment. Education/Previous Experience Associates degree and a minimum of two years marketing experience in a financial services environment or related work experience preferred, or any equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications FINRA Series 7 Preferred SIE required provided that an exemption or grandfathering cannot be applied. Education Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance, High School (HS) (Required) Work Experience General Experience - 4 to 6 months Certifications Salary Range $45,000.00-$43,750.00 Travel Less than 25% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AC1

At Covenant Capital, we pride ourselves on our deep relationships with clients and our high standard of care. The Client Associate is your opportunity to be an integral part of a close-knit team, directly impacting the families we serve while supporting our advisors in delivering excellence. Prior industry experience isn't required. If you are both highly personable and highly organized - and looking for a role that rewards that rare skill set, then the opportunity to work at Covenant Capital is for you. Job Description Essential Duties and Responsibilities Service daily client inquiries over the phone and in-person, including scheduling meetings and greeting clients Work both independently and within a dynamic team environment to provide administrative support to the financial advisors and branch office Open new client accounts, process money movement, and research information as needed Ensure client paperwork and documentation is accurate prior to submission and processing Follow up to ensure accurate completion Prepare various business summary reports and client-specific reporting as needed for review by the financial advisor Create and maintain records and files utilizing Client Relationship Management (CRM) software Actively engage in available training/cross-training and educational and/or professional development opportunities to remain current on industry policies and procedures Performs other duties and responsibilities as assigned Knowledge, Skills, and Abilities Knowledge of Company's working structure, policies, mission, and strategies General office practices, procedures, and methods Basic investment concepts, practices and procedures used in the securities industry Financial markets, products and industry regulations Skill in Client Relationship Management (CRM) software Microsoft Office Effective communication (in-person, virtual, phone and mail) Ability to Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases Analyze and research account information Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns Provide a high level of customer service in a calm and professional manner Use mathematics sufficient to process account and transaction information Use appropriate interpersonal styles and communicate effectively Work both independently and as part of a team Provide a high level of customer service Proactively anticipate client needs and strengthen relationships. Education High School (HS) (Required) Work Experience General Experience - 3 to 6 years Certifications Travel Less than 25% Workstyle Resident At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-LS1