Broker Dealer Jobs in Newport Beach
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Search Results - Broker Dealer Jobs in Newport Beach
KORE1-Newport Beach
KEY RESPONSIBILITIES
• Support the development and implementation of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally.
• Build...
mindmatch.ai -
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...
appcast.io -
Eagle Strategies LLC-Newport Beach
products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial...
mindmatch.ai -
PIMCO-Newport Beach
in a leading asset manager, law firm, or broker-dealer, with a focus on derivatives and capital markets
• Knowledge:
• Comprehensive understanding of trading agreements across all asset classes.
• In-depth knowledge of CFTC and SEC derivatives regulations...
appcast.io -
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 -
LGBT Great-Newport Beach
Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO’s investment advisory business.
9. Demonstrate initiative in learning and applying new skills...
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 -
Cetera Financial Group-El Segundo, 39 mi from Newport Beach
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 -
Phaxis LLC-Los Angeles, 35 mi from Newport Beach
investigation.
Providing Funding Support to Treasury across all product lines including Fixed Income, Money Market, Derivative, Structured Product, Broker dealer, Loans and other trading groups.
Validating projected balances and confirming real time positions...
resume-library.com -
Madison Professional Group- Financial Advisory Recruiters-Pasadena, 41 mi from Newport Beach
Our client is a national leader in the broker-dealer space, known for their investment in employees and exceptional work environment. They have received numerous awards for employee satisfaction and are recognized as one of the best broker-dealers...
mindmatch.ai -
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