Broker Dealer Jobs in San Jose
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Search Results - Broker Dealer Jobs in San Jose
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...
CyberCoders-San Jose
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-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...
San Jose
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-San Jose
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...
New York Life-San Jose
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
talentnest.com -
Jefferies-San Francisco, 40 mi from San Jose
Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded...
mindmatch.ai -
Social Capital Resources LLC-San Francisco, 40 mi from San Jose
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...
resume-library.com -
New York Life-San Jose
subsidiaries, New York Life provides a range of competitive insurance and financial products, including
life insurance, annuities, long term care insurance, disability income insurance and investment products such as
mutual funds through our broker-dealer arm...
talentnest.com -
Kestra Financial Independent Advisor-Palo Alto (CA), 15 mi from San Jose
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 -
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