Investment Advisor Jobs in Alameda (CA)
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Search Results - Investment Advisor Jobs in Alameda (CA)
Mission Creek Capital Partners Inc.-Alameda (CA)
Company Description
We are an independent registered investment advisor (RIA) firm in the San Francisco Bay Area. We provide specialized investment management strategies and solutions for a range of clients, including institutions, limited...
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IQ-EQ-San Francisco, 8 mi from Alameda (CA)
Job Description
Position Summary: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet...
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Equitable Advisors-Alameda (CA)
offices
Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered...
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Cardea Group-Alameda (CA)
software.
Qualifications:
• 1-3 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms.
• Bachelors Degree, preferably in Business or Finance.
• Proficient in ComplySci, Smarsh...
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Paulson Investment Company, LLC-Alameda (CA)
Paulson Investment Company, LLC is a boutique investment banking, wealth management, execution services, and retail brokerage and advisory firm focused on the micro to mid-cap (public & private) markets. We provide a broad range of investment...
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Capstone Search Group-Alameda (CA)
for driving new revenue growth by partnering with health insurance brokers, benefit consultants, general agencies, and registered investment advisors
• Conduct proper discovery, create an up-front contract, handle objections, and close employer business...
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Social Capital Resources-Alameda (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...
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Mission Creek Capital Partners Inc.-San Francisco, 8 mi from Alameda (CA)
Company Description
We are an independent registered investment advisor (RIA) firm in the San Francisco Bay Area. We provide specialized investment management strategies and solutions for a range of clients, including institutions, limited...
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Mission Creek Capital Partners Inc.-San Mateo (CA), 13 mi from Alameda (CA)
Company Description
We are an independent registered investment advisor (RIA) firm based in the San Francisco Bay Area, delivering specialized investment management strategies. Serving institutions, family offices, executives, entrepreneurs...
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Capital Advisors Group, Inc.-San Francisco, 8 mi from Alameda (CA)
CAPITAL ADVISORS GROUP, INC.
VICE PRESIDENT of BUSINESS DEVELOPMENT
Job Description
Capital Advisors Group, Inc. (www.capitaladvisors.com), an independent institutional investment advisor specializing in cash investment management and debt...
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