Broker Dealer Jobs in California
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Search Results - Broker Dealer Jobs in California
Cetera Financial Group-San Diego
The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal...
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3 similar jobs: Saint Paul, Des Moines, Minneapolis
Triad Financial Service Inc.-Anaheim
packages from a client base that includes Direct Borrowers, Manufactured Home Dealers, and Brokers. This includes, but is not necessarily limited to:
• Monitor all incoming loan doc request
• Ensure all necessary underwriting conditions have been cleared...
PlanMember Financial Corporation-Carpinteria
As our PlanMember Sales Assistant, you will have an exciting opportunity to learn the securities industry while supporting our PlanMember Advisors. Supporting to our assigned advisors in the form of submitting new business, helping to process...
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Social Capital Resources LLC-San Francisco
and Client broker-dealer regulation and regulatory environment
Trade Surveillance experience is a must
Must have working knowledge of Investment Advisors Act of 1940
Experience with Mutual Funds
Familiarity within a regulatory, legal, compliance...
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1 similar job: Los Angeles
Cetera Financial Group-El Segundo
The surveillance analyst position works directly with the Senior Analyst team leader. The role will include post-trade reviews on financial products to identify potential risks and violations of broker-dealer policies. This role will also include...
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Technology Credit Union (Tech CU)-San Jose
regulations, contracted broker-dealer, National Credit Union Administration (NCUA), Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) guidelines. Participates with other senior leadership to provide the overall sales...
Kestra Financial Independent Advisor-Palo Alto (CA)
years of experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance...
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Cesna - Recruitment experts worldwide-Los Angeles
the filing of necessary documents, including financial statements, for Reg A offering with the SEC. Hold a regulatory leadership role in a Reg A Series LLC & Broker-Dealer Company.
2. IPO Experience: Lead the IPO process, working closely with underwriters...
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Ultimate Staffing-Carpinteria
Financial Advisor Transition Liaison Needed in Carpinteria, CA (In-Office)
Salary Range: $55k-$63k
Works somewhat like a project manager helping/assisting financial advisors transition from another broker/dealer to our broker/dealer. Moving book...
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Regal Executive Search-Newport Beach
management firm, or broker/dealer.
• Excellent interpersonal and verbal/written skills.
• Proficiency in Microsoft Office applications (Word, Excel, PowerPoint, Office 365, etc.).
• Experience working with a multi-site workforce.
• Successful track record...
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Cetera Financial Group-El Segundo
associated with the Broker/Dealer
• Troubleshoot and resolve product or service problems; determining the cause and explaining the best solution to resolve the issue
• Resolve less complex problems immediately and direct complex inquiries to the IT Support...
mindmatch.ai -
1 similar job: San Diego
City National Bank-San Jose
regulatory guidance, policies and procedures with respect to all such capital markets activity at CNB. CNB Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity.
This role...
3 similar jobs: Los Angeles, San Francisco, San Diego
RK Partners-Newport Beach
Supplemental Salary, Commissions, Bonuses & Rewards programs
• Vast array of broker/dealer & investment advisory platforms
• Dedicated transition support & firm leadership opportunities
• Product specialists support & Practice management coaches
• Flexible...
talentnest.com -
2 similar jobs: San Diego, Chicago
Axos Bank-San Diego
or Finance10+ years' relevant experienceManaged large teamsPublic company and related filingsPreferred:Active CPABanking or broker-dealer#On-Site#AxosBankAxos Employee Benefits May Include:Medical, Dental, Vision, and Life InsurancePaid Sick Leave, 3 weeks...
Robert Half-El Segundo
an elevated level of client service.
• Assist with firmwide operational functions and regulatory compliance projects as needed.
Preferred qualifications:
• 2-3 years recent experience as client associate or similar role at wealth management, broker dealer...
roberthalf.com -
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