- 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 ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… 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...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- Ankura (Los Angeles, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… 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 ... information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to… more
- Columbia Bank (Los Angeles, CA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. + May… 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 ... that's purpose-built for financial professionals and designed to meet strict compliance standards. You'll work closely with Account Executives to ensure smooth… 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 ... differentiation, and seamless integration with advisor platforms all designed to meet compliance needs. You'll be selling a tool that solves real workflow problems,… 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 ... Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) +… more
- Coinbase (Sacramento, CA)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... multiple priorities in a dynamic, fast-paced environment. * Experience with SOX compliance within a financial services context. * Proficiency with large ERP systems… more