- Atria Wealth Solutions (Dublin, CA)
- …To learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker - dealer and SEC Registered Investment ... measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more
- Principal Financial Group (Modesto, CA)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- City National Bank (Los Angeles, CA)
- …Two to five years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National ... years of Client Service or Operational experience at a Broker Dealer or in an investment management...Dealer or in an investment management environment. * FINRA Series 7 and 63 and 65 or 66… 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 ... and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * 5 or more years of Customer Service or Operational experience at a Broker Dealer * 5 or more years of management and/or supervisory experience ... Program accounts and work directly with clients, Financial Advisors and CNS Investment Operations to open, fund, and provide ongoing support and service. Ensure all… 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, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- Lincoln Financial (Sacramento, CA)
- …performance feedback _Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project management ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more