- 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
- 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
- JPMorgan Chase (La Canada Flintridge, 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 (Granite Bay, 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 (Temecula, 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
- 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
- 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
- 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 (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
- 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
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