- Coinbase (Sacramento, CA)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- T. Rowe Price (San Francisco, CA)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Coinbase (Sacramento, CA)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... **Overview:** Coordinates workflow among Sales, Operations, Credit, and senior management within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy… more
- Columbia Bank (Santa Rosa, 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,...a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability… 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
- Lincoln Financial (Sacramento, CA)
- …**Requisition #:** 75012 **The Role at a Glance** We're excited to bring on a Senior Associate Actuary, Life & MoneyGuard Pricing to play an integral role in ... expansion * Analyze risk & summarize key findings for senior leaders to drive strategic pricing strategies * Collaborate...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more
- Raymond James Financial, Inc. (Sacramento, CA)
- …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
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