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FEED

This includes participating in designated onsite workdays and other required in-person activities, such as meetings, training, coaching, mentoring, problem-solving, and cross-functional collaboration, as determined by business needs. Understand and be accountable for executing all job functions in a way that is consistent with all requirements of state statutes, NCUA/FDIC, SEC, FINRA/SIPC, BSA, OFAC and the USA Patriot Act/Customer Identification Act (CIP).

YEAR

TruWest Credit Union

Manager- Wealth Management

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TruWest

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Find Your Calling

This is a high-impact role within a rapidly growing, publicly traded organization, responsible for supporting corporate governance, regulatory compliance, and asset management legal operations, and partnering closely with senior leadership to ensure our public company obligations and investment activities are executed accurately and in full compliance. This role is well-suited for someone with a paralegal background who has developed exposure to SEC-registered entities, investment company regulatory frameworks, and/or compliance program administration - and who is looking to own a meaningful scope of work in a dynamic, high-trust legal team.

Trinity Capital Inc

Corporate & Compliance Paralegal

Key roles and responsibilities include: (i) partnering with WCIB Business Units (BUs) and other Risk, Compliance, and Audit Professionals to help create, implement, maintain, review, and oversee an effective risk management framework, (ii) completing projects and/or activities that confirm compliance with fiduciary/trust requirements and applicable federal, state and local laws and regulations, (iii) identifying control and process weaknesses through testing activities, (iv) partnering with BUs and Risk Management groups to recommend and influence solutions to mitigate compliance risks, and (v) effectively communicating testing results to the Manager, including well written draft reports, and for responding to and/or escalating significant risks as appropriate. Experience supporting or overseeing fiduciary and investment-related businesses, including Personal Trust, Institutional Trust, Corporate Trust, Asset Management, Registered Investment Adviser (RIA), or Fund Services activities.

US Bank

Compliance Quality Assurance Lead Testing Analyst - Fiduciary Oversight and Testing

IRecruitee

As a Fund Administration Supervisor 1, you will lead and oversee the day-to-day financial and compliance operations for exchange-traded fund ("ETF"), mutual fund, closed end fund and/or business development company clients. As a Fund Administration Supervisor 2, you will lead and oversee the day-to-day financial and compliance operations for exchange-traded fund ("ETF"), mutual fund, closed end fund and/or business development company clients.

U.S. Bancorp

Fund Supervisor

Provide retirement plan consulting to clients - including plan design, benchmarking, investment menu analysis, and fiduciary guidance - performing this work directly and/or coordinating delivery through Investment Consultants and other internal specialists as the team model supports. Where a formal new logo sales goal is assigned, develop and manage a pipeline of prospective clients through referrals, COI relationships, convergence leads, and other business development channels, guiding prospects through the full sales cycle and closing new business against defined targets.

OneDigital

Retirement Plan Consultant

Where a formal new logo sales goal is assigned, develop and manage a pipeline of prospective clients through referrals, COI relationships, convergence leads, and other business development channels, guiding prospects through the full sales cycle and closing new business against defined targets. Provide retirement plan consulting to clients — including plan design, benchmarking, investment menu analysis, and fiduciary guidance — performing this work directly and/or coordinating delivery through Investment Consultants and other internal specialists as the team model supports.

OneDigital Investment Advisors

OneDigital Health and Benefits, Inc.

That’s why we are committed to managing our clients’ investments by truly understanding them as people first and then delivering advice, strategies and solutions to help them feel confident about the plans they are making, whether for today, tomorrow, or in the great unknown future. Recognized by Barron’s as a top RIA firm for eight years in a row (awarded each September (2018-2025) based on prior 12-month data through June 30) 1 , we support more than 1.27 million clients across 140+ offices nationwide and manage over $324 billion in assets 2 .

Edelman Financial Engines

Financial Consultant - Client Growth & Retention (Phoenix, AZ Hybrid)

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With industry knowledge and expertise in accounting, tax, advisory, benefits, insurance, and technology, CBIZ delivers actionable insights to help clients anticipate what is next and discover new ways to accelerate growth. CBIZ CPAs is an independent CPA firm that provides audit, review and attest services, while CBIZ provides business consulting, tax and financial services.

CBIZ Inc

Retirement Plan Sales Consultant

In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. As a Fund Administration Closed-End Fund Supervisor, you will lead and oversee the day-to-day compliance operations for closed-end funds and/or business development company clients.

Fund Administration Closed-End Supervisor

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Cetera Financial Group (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions.

HOUR

Are you a forward-thinker? Are you energized by a challenge? Do you want to make a difference? If you are looking for a dynamic company where you can build the future of independent financial advice with inspiring teammates—and have fun along the way—we think you’ll like it here. At Cetera, our Guiding Principles reflect what matters most to us. We seek to: 

measure success by our advisors' success

 
recognize the strength of our team

 
execute with purpose & efficiency

 
empower & inspire each other

Cetera Financial Group Inc

Client Services Representative

Proactive and continuous outreach to prospective clients through cold calling utilizing focused lead lists (Salesforce, Discovery Database, Advisors-in-motion reports, marketing campaign leads, etc.) while maintaining a sales pipeline. To do this, you will consult on investment allocation, utilize sales software to illustrate product performance, provide point-of-sale consultation on products and proposals, manage and fulfill sales material requests & provide coverage for team members as needed.

AssetMark, Inc.

Sales Consultant

Asset Mark

Internal Audit and Financial Advisory consultants are hired into one of two areas, including: Business Process Audit and Advisory: Helps companies become more innovative by exploring their business processes, identifying and mitigating emerging risks, developing creative solutions to complex business challenges, and encouraging best practices to enhance business functions. Imagining our work as a journey, integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver high-quality, client-focused outcomes in pursuit of our vision to be the most trusted global consulting firm.

Protiviti Inc

Phoenix Internal Audit and Financial Advisory Consultant - 2027

The Director of Family Wealth is a senior executive responsible for leading the organization's comprehensive wealth planning and family office strategy - spanning financial planning, estate and trust planning, tax-aware wealth strategies, business-owner advisory, family governance, philanthropy, risk management, and multigenerational wealth transfer. This role establishes the vision, capabilities, and service model necessary to deliver a differentiated, integrated family wealth experience, leading a team of specialized wealth professionals while client facing and partnering closely with relationship managers, private bankers, investment professionals, trust and fiduciary advisors, and other internal and external specialists.

Columbia Banking System Inc

Director of Family Wealth

The Director of Family Wealth is a senior executive responsible for leading the organization's comprehensive wealth planning and family office strategy — spanning financial planning, estate and trust planning, tax-aware wealth strategies, business-owner advisory, family governance, philanthropy, risk management, and multigenerational wealth transfer. This role establishes the vision, capabilities, and service model necessary to deliver a differentiated, integrated family wealth experience, leading a team of specialized wealth professionals while client facing and partnering closely with relationship managers, private bankers, investment professionals, trust and fiduciary advisors, and other internal and external specialists.

Investment Advisor Jobs in Arizona

Manager- Wealth Management TruWest Credit Union

Manager- Wealth Management TruWest

Manager- Wealth Management Find Your Calling

Corporate & Compliance Paralegal Trinity Capital Inc

Compliance Quality Assurance Lead Testing Analyst - Fiduciary Oversight and Testing US Bank

Fund Supervisor U.S. Bancorp

Fund Supervisor US Bank

Retirement Plan Consultant OneDigital

Retirement Plan Consultant OneDigital Investment Advisors

Retirement Plan Consultant OneDigital Health and Benefits, Inc.

Financial Consultant - Client Growth & Retention (Phoenix, AZ Hybrid) Edelman Financial Engines

Retirement Plan Sales Consultant CBIZ Inc

Fund Administration Closed-End Supervisor U.S. Bancorp

Client Services Representative Cetera Financial Group Inc

Fund Administration Closed-End Supervisor US Bank

Sales Consultant AssetMark, Inc.

Sales Consultant Asset Mark

Phoenix Internal Audit and Financial Advisory Consultant - 2027 Protiviti Inc

Director of Family Wealth Columbia Banking System Inc

Director of Family Wealth Columbia Bank

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