- Guardian Life (Sacramento, CA)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue...an insurance-affiliated broker / dealer as a plus. + Prior examination,… more
- Umpqua Bank (Walnut Creek, 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 Irvine, California 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)
- …analyze results of testing performed, and effectively communicate audit results to the Senior Audit Manager /Director and senior management in meetings, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital… 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
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... reporting to AD which will be used to inform senior management, Board-level committees and key stakeholders to drive...Assist in scheduling and attend meetings for examiners with senior management and with BU contacts on specific exams… 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 ... strong relationships, and ability to execute effectively. This is not a project manager role. **What you'll be doing** What you'll be doing * Provides specialized… more