- Bank of America (Westlake Village, CA)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66...Solutions Advisory + Pipeline Management + Prioritization + Trade Operations Management + Administrative Services + Client Investments Management… more
- JPMorgan Chase (Cupertino, CA)
- …role acts as a bridge between business development, sales, product, and operations teams, driving project delivery and supporting field adoption to achieve growth ... 2018, you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- Raymond James Financial, Inc. (Sacramento, CA)
- …reporting, specifically with **CAT** and **CAIS** , to support our compliance operations and ensure accurate trade and account data submissions. **_A fully remote ... following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key role in… more
- CalSTRS (Sacramento, CA)
- …audit and consulting services designed to add value and improve CalSTRS operations . Audit Services assists CalSTRS in accomplishing its objectives by bringing a ... part of the accomplishment of goals and objectives established for CalSTRS operations and programs. Audit Services consists of Employer and Internal Audits, Data… more
- Bank of America (Palo Alto, CA)
- …teams and deliver outstanding client service + Supervises financial transactions and operations to drive risk management best practices and ensure compliance with ... new client accounts + Leads Wealth Management Client Associates and the branch Operations Department to meet and exceed the bank's client service expectations and… more
- Cardinal Health (Sacramento, CA)
- …legal advice and services in order to protect the organization's assets, operations and image. This function provides legal counsel related to commercial, corporate ... securities , intellectual property, labor and employment, and regulatory law,...company legal matters, manages outside counsel and manages legal operations . Legal Management provides strategic oversight, leadership and direction… more
- MUFG (Los Angeles, CA)
- …and seek funding rates from Global Market Division + Instructs the back office operations to proceed with booking the transactions once the terms and conditions of ... in Kaizen activity to improve accuracy and efficiency of operations and prepare and update CSD operation manuals and...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Coinbase (Sacramento, CA)
- …support. We collaborate directly with senior leaders across Product, Engineering, and Operations to provide the insights and frameworks that guide Coinbase's most ... models to evaluate new initiatives (eg, new custody features, tokenized securities , or derivatives products) and guide resource allocation. * Lead forecasting,… more
- NVIDIA (Santa Clara, CA)
- …outsourced vendor relationships, collaborate cross-functionally, and lead daily operations involving stock-based compensation and public company disclosures. What ... compliance with US and international regulations regarding income, tax withholding, securities and reporting for stock awards. + Partner with cross-functional teams… more
- Bank of America (Los Angeles, CA)
- …on the team's vision, goals, and business plan + Establish and align practice operations to strategic vision + Conduct team meetings to drive business plan execution ... in partnership with office management team and HR/supervision, for HR, comp, operations and compliance related issues + Coordinate work assignments across team to… more