- 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
- JPMorgan Chase (Pasadena, CA)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- City National Bank (Los Angeles, CA)
- …Advisor, and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. WHAT DO YOU NEED TO SUCCEED? ... *Required Qualifications** * Bachelor's Degree or equivalent * Minimum 2 years of experience in the investment management industry * Minimum 2 years of experience in using Microsoft Office applications *Additional Qualifications* * Excellent computer literacy… more
- Wells Fargo (Los Angeles, CA)
- …with or supporting independent financial advisors, RIAs, or within an independent broker - dealer environment. + Deep understanding of the independent advisor ... business model, including operational flexibility, compliance nuances, and client service dynamics. + Proven ability to navigate complex organizational structures and influence without direct authority. + Familiarity with wealth management platforms, advisor… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. **Pay Range** Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills,… more
- Ankura (San Francisco, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Ankura (Los Angeles, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Insight Global (San Francisco, CA)
- …by booking high-quality meetings with financial advisors and decision-makers across RIAs and broker - dealer networks. This is a purely outbound role where you'll ... own the entire top-of-funnel process from sourcing your own leads using tools like Discovery Data, to crafting personalized outreach cadences in Salesloft, to executing 100+ cold calls a day. You'll be the first point of contact for prospects, educating them… more
- Wellington (San Francisco, CA)
- …investment/alternatives sales to financial advisors across wire houses, independent and regional broker dealer and other large wealth platforms. The primary ... focus will be marketing Wellington's public and private investment strategies to both new and existing clients across the wealth ecosystem. The successful candidate will bring broad asset management expertise and a keen understanding of the wealth distribution… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire). + Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they… more