• Investment Officer/Senior Investment Officer

    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
    Ventura County (10/04/25)
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  • Senior Associate, Licensing Maintenance

    Ankura (Los Angeles, CA)
    … lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered advisor] ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… more
    Ankura (11/13/25)
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  • Senior Wealth Advisor

    Columbia Bank (Los Angeles, CA)
    …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... A Senior Wealth Advisor may manage clients linked to a group of branches, business/ commercial clients, or function as a "hub" or "second floor" advisor for an… more
    Columbia Bank (10/23/25)
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