- City National Bank (Los Angeles, CA)
- …5 or more years of Customer Service or Operational experience at a Broker Dealer * 5 or more years of management and/or supervisory experience * FINRA Series ... representatives in client servicing, business development, retention, and portfolio management efforts. Assist clients with escalated service and operational… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... completion of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …2 years of client service experience, preferably in financial services or wealth management . + Familiarity with broker - dealer platforms; experience with LPL ... Description A boutique wealth management firm based in Walnut Creek, CA is...+ Prior experience in a financial advisory or wealth management setting. + Working knowledge of financial products and… more
- Principal Financial Group (Modesto, CA)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… more
- City National Bank (Los Angeles, CA)
- …and regulatory counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and affiliates with respect ... regulatory and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising registered investment… more
- City National Bank (Los Angeles, CA)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *SR AUDIT MANAGER- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth … more
- City National Bank (Los Angeles, CA)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Audit Manager...audit results to the Senior Audit Manager/Director and senior management in meetings, presentations, and/or written reports and memorandums.… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …* Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high-quality service ... Microsoft Office product suite, including Power Point and applications specific to the broker dealer Demonstrated ability to sell products and services to… more
- 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 ... **Overview:** Coordinates workflow among Sales, Operations, Credit, and senior management within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy… 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 ... The Private Client experience at JP Morgan offers a pathway to Wealth Management through comprehensive, expert planning. The Private Wealth Planner (PWP) role is… more