- 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
- 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
- Wells Fargo (Roseville, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Supervisory Control Manager to join our Client Relationship Group within Wealth...Market Leadership Management Team as well as Operations, Risk, Compliance , and Sales Teams to ensure firm and regulatory… more
- City National Bank (Los Angeles, CA)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …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 66), ... seeking a Compliance Specialist to support the firm's Compliance Program. You will report to Manager - Compliance Operations + Develop and manage a … more
- Ankura (Los Angeles, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more