Broker Dealer Jobs in California
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Search Results - Broker Dealer Jobs in California
Robert Half-San Diego
Job Description:
Our client, a mid-sized broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position plays a critical role in ensuring the firm’s compliance with financial regulations and internal...
mindmatch.ai -
Logix Guru on behalf of our client-Carpinteria
Our financial services client in Carpinteria, CA is seeking a full time Tax Operations Coordinator to join their team. Onsite 5 days per week (2 remote days per month allowed). Must have experience working at a Broker Dealer Retirement Planning...
Equitable Advisors-San Francisco
help you achieve your goals through:
Our open-architecture platform for client solutions
Our broker/dealer powered by one of the world’s largest broker/dealers LPL
Our elite benefits and wealth-buildingprograms
Our competitive payouts
Our operation...
mindmatch.ai -
4 similar jobs: Fremont, Santa Clara, Santa Rosa, Sonoma
Tbwa Chiat/Day Inc-San Francisco
from customers, and a need to grow our team to meet the needs of more companies, teams, and innovators in this way.
The Role:
We are seeking a detail-oriented and proactive Director, BD/RIA Compliance to join Forge’s broker-dealer and RIA Compliance...
appcast.io -
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...
mindmatch.ai -
Tbwa Chiat/Day Inc-San Francisco
from customers, and a need to grow our team to meet the needs of more companies, teams, and innovators in this way.
The Role:
We are seeking a detail-oriented and proactive Director, BD/RIA Compliance to join Forge’s broker-dealer and RIA Compliance...
appcast.io -
PlanMember Financial Corporation-Carpinteria
organizations. PlanMember has been a top-ranked fee-based broker dealer since 2004 and top ten ranked for new retirement plans added and K-12 retirement plans.
With a mission of making a positive difference for our Partners, Members and Employees, PlanMember...
trinethire.com -
Beacon Pointe Advisors LLC-Los Angeles
and/or operations; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer
• Demonstrated experience and knowledge of client service and operational processes
• Exceptional written and verbal communication skills...
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...
resume-library.com -
Equitable Advisors-Sunnyvale
help you achieve your goals through:
Our open-architecture platform for client solutions
Our broker/dealer powered by one of the world’s largest broker/dealers LPL
Our elite benefits and wealth-buildingprograms
Our competitive payouts
Our operation...
mindmatch.ai -
CDC Small Business Finance-San Diego
About the Organization
The - which includes and and (an SEC-registered broker-dealer, MSRB-registered, FINRA/SIPC member) - are transforming how capital and investments flow into communities to provide people access to the capital and opportunities...
resume-library.com -
Cetera Financial Group-El Segundo
i.e. Broker Dealer or RIA)
• Strong understanding of CRM and omni channel market and telephony platforms i.e. NICE. Salesforce
Desired Knowledge, Skills, and Abilities:
• Ability to build and sustain excellent relationships at multiple levels...
mindmatch.ai -
Robinhood-Menlo Park (CA)
to change the world — we’d love to have you apply.
Robinhood is looking for an Assistant General Counsel to join our growing Regulatory legal team. We are looking for an attorney with experience in retail broker-dealer regulation who is excited to work...
appcast.io -
KORE1 Technologies-Newport Beach
KORE1, a nationwide provider of staffing and recruiting solutions, has an immediate opening for a LEGAL - Compliance Specialist, in Newport Beach, Ca.
KEY RESPONSIBILITIES-
Support the development and implementation of the broker-dealer...
smartsearchonline.com -
Synergy Management Group-San Francisco
Extensive network of high-net-worth investors and active SEC/FINRA broker-dealer licenses in good standing.
• Strong communication, negotiation, and relationship-building skills.
• Self-starter who can independently manage the capital raise process...
appcast.io -
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