- 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 ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal department. This… more
- Coinbase (Sacramento, CA)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- T. Rowe Price (San Francisco, CA)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …interaction, ensuring outstanding member experience. Adhere to all regulatory, broker - dealer , and institutional compliance standards-upholding the highest ... inspire confidence and build lasting relationships. Proficiency in Microsoft Office and broker - dealer platforms. Why You'll Love It Here You'll work alongside a… 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 ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Navy Federal Credit Union (Vacaville, CA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more
- Charles Schwab (Sacramento, CA)
- …consultative B2B sales experts who focus on large and complex advisors, independent broker dealer reps and trust/bank professionals. You will partner with ... teams, independent advisors, family offices, trust companies, large branches/OSJ's and broker /dealers + Passionate about the benefits of moving from traditional… more
- HUB International (Encino, CA)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
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