Broker Dealer Jobs in El Segundo
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Search Results - Broker Dealer Jobs in El Segundo
Cetera Financial Group-El Segundo
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...
mindmatch.ai -
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 -
Cetera Financial Group-El Segundo
and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered...
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Mindlance-Los Angeles, 10 mi from El Segundo
The Compliance Officer will work closely with the members of a team focusing on regulatory broker-dealer compliance issues with respect to monitoring public communications, marketing, licensing/registration, handling customer complaints...
resume-library.com -
Cetera Financial Group-El Segundo
clients with the navigation and use of various systems associated with the Broker/Dealer
• Maintain minimum call handling requirements and quality review scores while adhering to assigned work schedule.
• Utilize the CRM (Client Relationship Management...
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Cesna - Recruitment experts worldwide-Los Angeles, 10 mi from El Segundo
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...
appcast.io -
Beacon Hill-El Segundo
start to finish
• Quickly and thoughtfully handle complex and escalated issues from representatives and customers
• Provide support on various computers systems associated with the broker/dealer
• Maintain minimum call requirements and quality review...
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Triad Financial Service Inc.-Anaheim, 26 mi from El Segundo
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...
Cetera Financial Group-El Segundo
Assistance Program (EAP), LifeLock, Pet Insurance and more.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals...
mindmatch.ai -
Cetera Investment Services LLC-Los Angeles, 10 mi from El Segundo
and business development skills
• 2+ years of experience as producing advisor
• Bachelor’s degree preferred
Education and Training
Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving...
mindmatch.ai -
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