Broker Dealer Jobs in Los Angeles
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Search Results - Broker Dealer Jobs in Los Angeles
Mindlance-Los Angeles
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 -
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...
appcast.io -
CyberCoders-Los Angeles
are in numerous industries; broker-dealer, construction, employee benefit plans, energy and oilfield services, healthcare, high net worth family groups, manufacturing, non-profit, private equity, real estate, wholesale distribution, and many more.
With a staff...
mindmatch.ai -
City National Bank-Los Angeles
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...
Los Angeles
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
NM and its subsidiaries...
icims.com -
Financial Industry Regulatory Authority-Los Angeles
they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
All of those accounts are subject...
Cetera Financial Group-El Segundo, 10 mi from Los Angeles
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 -
Triad Financial Service Inc.-Anaheim, 19 mi from Los Angeles
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, 10 mi from Los Angeles
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 -
Beacon Hill-El Segundo, 10 mi from Los Angeles
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...
mindmatch.ai -
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