- 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
- City National Bank (Los Angeles, CA)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... including network, databases, operating systems, information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to ensure processes are adequately designed and functioning… more
- Insight Global (San Francisco, CA)
- …confidence running product demos. -Experience selling to financial advisors, RIAs or broker - dealer networks (strong plus). -Willingness to grow with a scaling ... company and take on new challenges. more
- Athene (CA)
- …team who will focus on maintaining and building Athene's presence in the Direct/Independent Broker Dealer Channel. The RVP will partner with the Division Sales ... VP in developing and leading the wholesaling efforts with our clients. The RVP must be currently located within the territory - Los Angeles, CA. Candidates residing in other locations will not be considered. Accountabilities: + Work closely with VP/Division… more
- Columbia Bank (Los Angeles, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... job responsibilities - knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. +… more
- JPMorgan Chase (Westminster, 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
- Guardian Life (Sacramento, CA)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- JPMorgan Chase (Los Angeles, CA)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... retirement strategies + Bachelor's degree and Certified Financial Planner (CFP) or Wealth Management Certified Professional (WMCP) designation (or equivalent) required + Ability & experience in understanding clients' financial situations and personal… more
- Kestra Financial (Palo Alto, CA)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not ... limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts. Location Palo Alto, California Job Type: Full-time Salaried Pay: $50,000.00 - $60,000.00 per year Base plus Bonus (Uncapped) We Offer: Base Salary, and performance… more
- TopMark Funding LLC (CA)
- …2+ years of successful sales experience originating equipment finance transactions in a broker business model, or comparable experience at an equipment dealer or ... specialty lender. + A demonstrated history of bringing on new business and exceeding quotas. + Strong ability to build and maintain business relationships. + Excellent communication skills, both over the phone and via email. + A high sense of urgency and a… more