• Vice President, Senior MarTech Engineer

    Aristotle Capital Management (Los Angeles, CA)
    …and governance practices, ensuring compliance with regulatory requirements (eg, FINRA , SEC , GDPR, CAN-SPAM). + Oversee data hygiene, enrichment, and ... client journeys across all audiences. + Collaborate with sales, product, and compliance teams to build campaign frameworks that align with regulatory requirements… more
    Aristotle Capital Management (06/13/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Sacramento, CA)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
    Guardian Life (06/14/25)
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  • Investment Advisor

    Navy Federal Credit Union (San Diego, CA)
    …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
    Navy Federal Credit Union (07/12/25)
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  • Senior Counsel- Legal & Wealth Management

    City National Bank (Los Angeles, CA)
    …advise on a broad range of matters under the banking and securities laws, including the SEC , FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to ... legislation, new product development, and documentation and in dealings with the OCC, SEC , FINRA and other US regulatory authorities. * Conduct research and… more
    City National Bank (05/10/25)
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  • Investment Relationship Officer

    City National Bank (Los Angeles, CA)
    …of Client Service or Operational experience at a Broker Dealer. * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National Financial Systems ... and coding updates when policy and procedures change. Prepare all required SEC 17AC3-4(books and records) documents, letters, and correspondence needed for Program… more
    City National Bank (07/16/25)
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  • Associate General Counsel - Broker-Dealer…

    Robert Half Legal (San Diego, CA)
    Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This...JD from accredited law school + Extensive knowledge of SEC , FINRA , and state securities regulations +… more
    Robert Half Legal (07/09/25)
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  • Lead Client Services Officer

    City National Bank (Los Angeles, CA)
    …objectives, risk tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * ... and approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and administrative aspects… more
    City National Bank (07/12/25)
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  • Supervision Principal

    US Bank (Newport Beach, CA)
    …Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA , SEC , MSRB, OCC, and internal supervisory policies and procedures. ... a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You...of experience in the financial services industry - Active FINRA Series 7, 24, 53, 63 and 65/66 licenses… more
    US Bank (07/09/25)
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  • Financial Advisor Trainee-PCG

    Raymond James Financial, Inc. (Beverly Hills, CA)
    …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. Skill in * Operating client relationship manager system and… more
    Raymond James Financial, Inc. (06/09/25)
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  • Manager, Investment Services

    Atria Wealth Solutions (Dublin, CA)
    …learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor ... + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. +...training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training… more
    Atria Wealth Solutions (05/15/25)
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