- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with daily ... supervision of Broker Dealer and Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters, written and… more
- City National Bank (Beverly Hills, CA)
- …gathering relevant market information, performing market analysis, and leveraging broker /dealer relationships. This includes detailed market research and analyzing ... as MarketAxess and Tradeweb. + Develop and maintain strong relationships with broker dealer community. + Continuously monitor the market conditions and remain… more
- Deloitte (Los Angeles, CA)
- …practice operates through Deloitte Corporate Finance LLC* (DCF), a registered broker dealer. We offer sophisticated investment banking services to companies of ... companies engaged in "life event" transactions. We are seeking inside sales specialists to successfully support our bankers with...Degree + 2+ years of relevant lead generation or inside sales experience + Ability to obtain Series 7… more
- City National Bank (Los Angeles, CA)
- …under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible for ongoing monitoring, identification ... benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .… more
- Randstad US (Los Angeles, CA)
- …Tues - Thurs. Skills/qualifications: + Familiarity of the financial industry, broker /dealer firms and their advisors, strongly preferred. + Demonstrates ability to ... complexity. + Demonstrates ability to collaborate and develop/maintain working relationships inside and outside the organization to enable effective completion of… more
- City National Bank (Los Angeles, CA)
- …Compliance roles, experience with a financial institution such as a broker /dealer and/or registered investment adviser. + For Wealth Management Compliance roles, ... benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .… more