• Manager , Broker - Dealer…

    Coinbase (Sacramento, CA)
    …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
    Coinbase (10/30/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Sacramento, CA)
    …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
    Guardian Life (12/10/25)
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  • Compliance Specialist

    World Insurance Associates, LLC. (Santa Barbara, CA)
    …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 66), ... seeking a Compliance Specialist to support the firm's Compliance Program. You will report to Manager - Compliance Operations + Develop and manage a … more
    World Insurance Associates, LLC. (11/06/25)
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  • Sr. Audit Manager - Treasury/Finance

    City National Bank (Los Angeles, CA)
    …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
    City National Bank (11/01/25)
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  • Senior Wealth Advisor

    Columbia Bank (Santa Rosa, CA)
    …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. + May… more
    Columbia Bank (12/23/25)
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