- 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
- 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
- SolomonEdwards (Sacramento, CA)
- …Consultant to join a leading national financial services organization with significant broker / dealer operations. This hands-on role will lead the design and ... ensuring full alignment with OCC regulatory requirements. * Partner with the Broker / Dealer oversight function and internal teams to ensure the first line of… more
- Principal Financial Group (Modesto, CA)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial professionals,… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …* Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high-quality service ... product suite, including Power Point and applications specific to the broker dealer Demonstrated ability to sell products and services to investment clients,… more
- City National Bank (Los Angeles, CA)
- …legal advice to all three lines of defense (front line, Risk/Compliance, Audit), broker - dealer businesses, and other US-based businesses regarding all aspects of ... substantial experience advising regulated financial institutions (including national banks and broker -dealers) on laws and regulations relating to AML and Financial… more
- City National Bank (Los Angeles, CA)
- …and regulatory counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and affiliates with respect ... and subsidiaries. Substantial expertise in advising registered investment advisers and broker -dealers is essential as is the ability to work and communicate… more
- Navy Federal Credit Union (San Diego, 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
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy of dealer records in various internal systems. Provides administrative support, including… more
- Lincoln Financial (Sacramento, CA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more