• Investment Relationship Officer (Sales Support)…

    City National Bank (Los Angeles, CA)
    …all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA ... apprised of significant client issues and potential problems. *City National Securities Brokerage Account Administration* * Establish new accounts opened in CNS… more
    City National Bank (08/07/25)
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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 ... financial services organization is seeking a Associate General Counsel - Broker -Dealer Regulatory Compliance to join its growing corporate legal department. This… more
    Robert Half Legal (07/09/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Stevenson Ranch, CA)
    …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life… more
    JPMorgan Chase (08/10/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (San Gabriel, CA)
    …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
    JPMorgan Chase (08/10/25)
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  • Manager, Investment Services

    Atria Wealth Solutions (Dublin, CA)
    …to execute and measure the plans following the credit union and the broker dealer's guidelines. Responsibilities + Develop each employee to their highest potential ... Credit Union compliance training and those mandated by the broker -dealer. + Serve as a liaison between Patelco Financial...coaching experience. + Series 7, 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. +… more
    Atria Wealth Solutions (05/15/25)
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  • Business Resource Center, Advanced Planning…

    Guardian Life (Sacramento, CA)
    …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
    Guardian Life (08/08/25)
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  • Lead Client Services Officer

    City National Bank (Los Angeles, CA)
    …SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting the ... Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, Assistant… more
    City National Bank (08/07/25)
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  • Financial Advisor - Team Sponsored Launch- San…

    Thrivent Financial (San Francisco, CA)
    …client relations and planning activities of the Financial Advisors, supports securities and insurance-related tasks and other administrative tasks as assigned. This ... dismemberment insurance + Pension, 401(k) and retiree medical plans Position Requirements: + Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65)… more
    Thrivent Financial (07/05/25)
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  • Senior Counsel- Legal & Wealth Management

    City National Bank (Los Angeles, CA)
    …and subsidiaries. Substantial expertise in advising registered investment advisers and broker -dealers is essential as is the ability to work and communicate ... a broad range of matters under the banking and securities laws, including the SEC, FINRA, OCC, FRB, and...counsel to the Bank and its registered investment adviser, broker -dealer, and registered investment fund subsidiaries and affiliates with… more
    City National Bank (08/07/25)
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  • Sales Engineer II, Ten-X

    CoStar Realty Information, Inc. (Irvine, CA)
    …ensure complete and organized due diligence is available to buyers, and support the broker 's buyer engagement as needed to sell the property at an auction. As a ... Your role will be pivotal in effectively communicating auction strategies to each seller, broker and buyer that you engage with. Educating each broker and seller… more
    CoStar Realty Information, Inc. (08/02/25)
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