- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... of investments in real estate partnerships and/or fund investments and assist more senior asset managers with their portfolio. + Identify and analyze issues, and… 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 ... RELATIONS ANALYST* WHAT IS THE OPPORTUNITY? Responsible for working with Associate Director ("AD") to coordinate end-to-end regulatory activity within CNB and… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …states. Dunham is an independently owned Registered Investment Adviser and Broker / Dealer . Member FINRA/SIPC, helping Financial Advisors and individual investors ... SENIOR IT SYSTEMS ADMINISTRATOR Dunham & Associates Investment...will be considered. Technical certifications, such as Azure Administrator Associate , VCP-DCV, CCNA, CompTIA Server+ are a plus. Knowledge… more
- Raymond James Financial, Inc. (Salem, OR)
- …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... expanding the firm's reach, improving recruitment outcomes, and developing team capabilities. Associate in this role will be located on the West Coast. **Essential… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to join the Supervision and Controls Team. The role… more