Investment Advisor Jobs in Sonoma
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Search Results - Investment Advisor Jobs in Sonoma
Capital Advisors Group, Inc.-Sonoma
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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IQ-EQ-San Francisco, 36 mi from Sonoma
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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Cardea Group-Sonoma
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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Knowhirematch-San Francisco, 36 mi from Sonoma
sophisticated advice to clients on regulatory and compliance matters affecting registered investment companies.
Guide clients on adhering to federal regulations, particularly under the Investment Company Act and Investment Advisers Act, and assist with complex...
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Social Capital Resources-Sonoma
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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Soteriare-San Francisco, 36 mi from Sonoma
Senior Investment Manager - Private Wealth Management
Apply locations San Francisco, CA time type Full time posted on Posted 8 Days Ago job requisition id 2103029
Job Description:
The Department
Strategic Advisers, LLC. (SAI) is a registered...
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Capstone Search Group-Sonoma
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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Innovations PSI-Sonoma
years of experience in wealth management, brokerage, or investment advisory.
• Bachelor’s degree strongly preferred.
• Familiarity with custodians such as Schwab, Fidelity, and Pershing.
• Experience with Orion Advisor Technology is a plus.
• Strong...
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Insight Global-Sonoma
This role will target employee benefits brokers who manage clients with 100-2,000 employees. You will also be responsible for driving growth by partnering with health insurance brokers, benefits consultants, general agencies, and registered investment...
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Mission Creek Capital Partners Inc.-Santa Rosa, 21 mi from Sonoma
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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