- Coinbase (Sacramento, CA)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Kestra Financial (Palo Alto, CA)
- …of 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… 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 ... Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… 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
- 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, senior ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment… more
- 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 ... to support the firm's Compliance Program. You will report to Manager-Compliance Operations + Develop and manage a Compliance Department activity reporting system. +… more
- TopMark Funding LLC (CA)
- …levels of communication with clients and our internal teams (Credit, Funding, Operations ) to ensure a seamless and efficient closing process. + Consistently meet ... 2+ years of successful sales experience originating equipment finance transactions in a broker business model, or comparable experience at an equipment dealer or… more