- Coinbase (Sacramento, CA)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Atria Wealth Solutions (Dublin, CA)
- …of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....training content for branch teams and vet content with Compliance and our broker - dealer partner,… more
- 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 ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- City National Bank (Los Angeles, CA)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk). Additionally, the position is responsible for maintaining… more
- City National Bank (Los Angeles, CA)
- …and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, ... experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance roles, experience… more
- Columbia Bank (Los Angeles, CA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. + May… more