Top Tech Jobs & Startup Jobs in Seattle, WA

Review and approve retail advertising and communications for compliance with federal, state, FINRA, SEC, and insurance regulations. Research and respond to regulatory inquiries, manage SME review processes, maintain compliance documentation, and advise business units on regulatory impacts.

Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.

The Financial Institutions Management Consultant will manage strategic business planning and relationships with financial institutions, offering business consulting and wealth management expertise to drive growth and enhance client experience.

Lead a Regional Growth Team to achieve sales goals, manage advisor relationships, and enhance organic growth. Oversee engagement plans and sales pipelines while collaborating with onboarding and sales teams.

The Regional Business Development Manager recruits Financial Advisors and CPA firms, develops leads, and manages the sales process within the tax channel, focusing on CFG's value proposition.

The Regional Business Development Manager will drive recruitment of Financial Advisors, manage relationships, and present CFG's value proposition while achieving recruitment goals.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

Responsible for recruiting financial advisors, developing leads, creating recruitment plans, delivering presentations, and managing the recruitment process in the West Region.