- HUB International (Encino, CA)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer , will be a highly visible, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more