- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker -Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... services organization is seeking a Associate General Counsel - Broker -Dealer Regulatory Compliance to join its growing corporate legal department. This position… more
- General Atomics (Poway, CA)
- …Coordinate and process import and export shipments, including AES filing and customs broker interaction. + Provide trade compliance support for customs and ... Atomics Aeronautical Systems (GA-ASI) has an exciting opportunity for a Trade Compliance Operations Specialist to join our International Trade Compliance (ITC)… more
- AAA Northern California, Nevada & Utah (Walnut Creek, CA)
- …regulatory changes (especially insurance codes) to adapt risk management strategies and maintain compliance . + Ensure continuous broker compliance across all ... including licensing, risk management, errors and omissions (E&O) management, compliance policy administration, and carrier management. This role, reporting directly… more
- ADP (San Diego, CA)
- ADP is hiring a ** Broker Channel Sales Representative** . + Does the idea of hunting for new business alongside broker partners entice you? + Do you thrive on ... referrals from, and win new business exclusively through our broker channel and client referrals as part of our...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- CBRE (Sacramento, CA)
- CBRE Broker Program (2025) Job ID 215557 Posted 10-Apr-2025 Role type Full-time Areas of Interest Sales/Brokerage Location(s) Remote - US - Remote - US - United ... of interest in any posted position at CBRE. **Associate Broker ** About the Role As a CBRE SP -...and financial models + Manage transaction documentation, contracts, and compliance + Partner with legal teams to facilitate negotiations… more
- Cushman & Wakefield (El Segundo, CA)
- **Job Title** Associate Broker **Job Description Summary** This role will support a leading industrial brokerage team in the Los Angeles area with the necessary ... with disabilities. Discrimination of any type will not be tolerated. In compliance with the Americans with Disabilities Act Amendments Act (ADAAA), if you… more
- Anywhere Real Estate (Riverside, CA)
- …Collaborate with internal partners on legal agreements, royalty reporting, and compliance requirements. Support the drafting of legal documents and manage document ... execution process. **Minimum Qualifications:** + **Experience:** Proven experience leading corporate strategy, programs, or processes at the brand or enterprise level, preferably within a multi-unit or franchise organization. + Demonstrated ability to design… more
- City National Bank (Los Angeles, CA)
- …* Provide legal advice to all three lines of defense (front line, Risk/ Compliance , Audit), broker -dealer businesses, and other US-based businesses regarding all ... substantial experience advising regulated financial institutions (including national banks and broker -dealers) on laws and regulations relating to AML and Financial… more
- Atria Wealth Solutions (Dublin, CA)
- …initiatives that promote synergy. + Oversee the completion of all required Credit Union compliance training and those mandated by the broker -dealer. + Serve as a ... Develop training content for branch teams and vet content with Compliance and our broker -dealer partner, and ensure monthly training sessions are conducted by… more
- Guardian Life (Sacramento, CA)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … more