- Wells Fargo (New York, NY)
- …authentic self, and empowered to grow. **About this role:** Wells Fargo is seeking an Advisor Platform / RIA - Principal Engineer in Technology as part ... (WIMT) to lead engineering and development, supporting the new RIA and Investment Custody platform ....excellence which results in an enhanced and more consistent advisor and client experience. This principal engineer… more
- CNO Financial Group (TX)
- …ensure licensing. + 5 years in transaction supervisory role at a broker-dealer / Registered Investment Advisor with focus on suitability review preferred. + ... a Home Office - Office of Supervisory Jurisdiction (OSJ) Principal who is responsible for a variety of supervisory,...may be essential. + Have a strong foundation in investment concepts, practices and procedures used in the securities… more