- Umpqua Bank (Los Angeles, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... Senior Wealth Advisor Wealth Management Scottsdale, Arizona Sacramento,...advisor, certified financial planner, investment advisor Representative, or wealth manager . + Strong marketing and business development skills, keeping… more
- City National Bank (Los Angeles, CA)
- …AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more
- Lincoln Financial (Sacramento, CA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... for assigned area(s) of responsibility, assesses the impact, and collaborates with senior management to incorporate current trends and developments in current and… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... support the firm's Compliance Program. You will report to Manager -Compliance Operations + Develop and manage a Compliance Department...the skills and knowledge to succeed and assume more senior level positions as they progress at our firm.… more