• 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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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Sacramento, CA)
    …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
    Guardian Life (06/14/25)
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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 (San Diego, 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 (08/03/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Saratoga, 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 (08/02/25)
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  • JP Morgan Wealth Management - Market Director…

    JPMorgan Chase (Laguna Niguel, 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 (07/18/25)
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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 (06/26/25)
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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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