Broker Dealer Jobs in San Mateo (CA)
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Search Results - Broker Dealer Jobs in San Mateo (CA)
Social Capital Resources-San Mateo (CA)
knowledge of SEC and FINRA 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...
mindmatch.ai -
Tbwa Chiat/Day Inc-San Francisco, 15 mi from San Mateo (CA)
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 -
Equitable Advisors-Alameda (CA), 13 mi from San Mateo (CA)
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 -
Beacon Hill-San Jose, 27 mi from San Mateo (CA)
NOTE: This is a 100% Remote position. Candidates will be working on PST Hours
One of our clients in Los Angeles area is looking for a Project Manager with the following skills and experience:
MUST HAVE : BROKER DEALER/ WEALTH MANAGEMENT / MERGER...
Equitable Advisors-Fremont, 17 mi from San Mateo (CA)
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 -
Kestra Financial Independent Advisor-Palo Alto (CA), 13 mi from San Mateo (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 -
Social Capital Resources-Hayward, 13 mi from San Mateo (CA)
knowledge of SEC and FINRA 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...
mindmatch.ai -
AngelList-San Francisco, 15 mi from San Mateo (CA)
and broker-dealer activities, including SEC and FINRA regulations, as well as state securities laws and Blue Sky filings.
• Thorough understanding of global data privacy laws (e.g., GDPR, CCPA); cybersecurity compliance frameworks like SOC 2, ISO 27001...
appcast.io -
Beacon Hill-San Francisco, 15 mi from San Mateo (CA)
NOTE: This is a 100% Remote position. Candidates will be working on PST Hours
One of our clients in Los Angeles area is looking for a Project Manager with the following skills and experience:
MUST HAVE : BROKER DEALER/ WEALTH MANAGEMENT / MERGER...
mindmatch.ai -
Alamo Capital-Alameda (CA), 13 mi from San Mateo (CA)
At Alamo Capital, we offer Professionally Licensed Salespeople the opportunity to take charge of their own career. Our firm is a Woman Business Enterprise that has been providing full Broker-Dealer services, specializing in Fixed-Income products...
mindmatch.ai -
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