- Robert Half Legal (San Diego, CA)
- …services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This position ... supportive, non-law firm culture. Counsel Responsibilities: + Serve as day-to-day legal advisor to the broker-dealer and investment advisory platforms, focusing on … more
- JPMorgan Chase (Irvine, CA)
- …knowledge in this area of specialization. You will adhere to all regulatory requirements while marketing and promoting the financial products offered by Chase. ... work in unison with one or more Home Lending Advisor (s) to create an outstanding customer experience for home...request documentation from borrowers and review with Home Loan Advisor (s). + Discuss products and pricing at the request… more
- Wells Fargo (Beverly Hills, CA)
- …. **In this role you will:** + Assist Financial Advisor (s) colleagues with service and operational related activities such as ... via telephone, direct interaction and/or written correspondence + Facilitate Financial Advisor and client requests for account related information and/or quotes +… more
- Wells Fargo (Westlake Village, CA)
- …. **In this role you will:** + Assist Financial Advisor (s) with sales, service and operational related activities such as ... via telephone, direct interaction and/or written correspondence + Facilitate Financial Advisor and client requests for account related information and/or quotes,… more
- Bank of America (Newport Beach, CA)
- …business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial, and ... by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally,… more
- JPMorgan Chase (San Francisco, CA)
- …within JPMorgan Advisors, you will be a vital member of the Financial Advisor 's team. Your role will involve close collaboration with Financial Advisors, acting as ... and their affluent clients. Utilizing your in-depth knowledge of the Financial Advisor role, you will build strong relationships with clients, aiding them and… more
- JPMorgan Chase (San Francisco, CA)
- …and financials, and provide investment quotes to clients while complying with regulatory and firm policies and procedures. + Interface directly with clients and ... of products and applications including, but not limited to: Advisor Services, Wealth Planning & Advice, Goal Based planning,...to adapt and stay abreast of changing technology and regulatory policies + Highly proficient user of Word, PowerPoint,… more
- Bank of America (San Diego, CA)
- …needs. Job expectations include driving responsible growth while minimizing regulatory , financial, operational, and reputational risks. The **Market Client ... The MCRM is responsible for delivering firm strategy and partners closely with advisor teams to deliver an exceptional client service model focusing on digital… more
- Bank of America (Walnut Creek, CA)
- …needs. Job expectations include driving responsible growth while minimizing regulatory , financial, operational, and reputational risks. The **Market Client ... through the execution of the Market Strategy Plans. MCRMs partner closely with advisor teams to deliver a branded client service model focusing on digital solutions… more
- City National Bank (Los Angeles, CA)
- …risk management processes of the Bank. CRR also serves as an internal advisor to lending units and credit administration / risk management to identify, recommend ... and effect process changes regarding credit risk management activities, regulatory issues related to credit risk, credit policy, and general credit underwriting… more