- Robert Half Legal (San Diego, CA)
- …financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …years of experience in client service or operations within financial services (RIA, broker - dealer , custodian, or bank) + Strong communication skills and a ... Description Client Service Associate Location: Walnut Creek, CA | In-Office Preferred...reviews + Maintain accurate client records and assist with compliance requirements + Support client onboarding, transfers, and day-to-day… more
- JPMorgan Chase (La Canada Flintridge, 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 ... solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational… more
- City National Bank (Los Angeles, CA)
- … Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance ... RELATIONS ANALYST* WHAT IS THE OPPORTUNITY? Responsible for working with Associate Director ("AD") to coordinate end-to-end regulatory activity within CNB and… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …in a client service or operations role within a financial services firm (RIA, broker - dealer , custodian, or bank) + Strong communication and follow-through with a ... Description Client Service Associate Walnut Creek, CA | In-Office Preferred (Hybrid...client reviews + Maintain accurate client records and support compliance efforts + Assist with client onboarding, transfers, and… more
- Umpqua Bank (Walnut Creek, 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