5 Broker Dealer Management Jobs in El Segundo, CA
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Financial Planning Consultant (Required: Series 7/66 or 63/65 combo) (Remote: Pacific NW - MT, ID, WA, CA, OR, UT, CO) Avantax Planning Partners - Los Angeles, CA, United States , and in Broker/Dealer business, including Retirement Plans, Annuities, etc. Partner with Client Development Specialists who create plans for the CPAs to identify leads, and opportunities for existing clients 6 days ago
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Financial Planning Consultant (Required: Series 7/66 or 63/65 combo) (Remote: AL, GA) Avantax Planning Partners - Los Angeles, CA, United States , and in Broker/Dealer business, including Retirement Plans, Annuities, etc. Partner with Client Development Specialists who create plans for the CPAs to identify leads, and opportunities for existing clients 24 days ago
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Trader Senior - Fixed Income - City National Rochdale City National Bank - Beverly Hills, California analysis, and leveraging broker/dealer relationships. This includes detailed market research and analyzing market conditions to provide best execution across the curve and across a variety of security 4 days ago
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Sr. Compliance Analyst - Broker Dealer Investment Advisory City National Bank - Los Angeles, California CNS Management with heightened standards deliverables. Must-Have* Bachelor's Degree or equivalent Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance, and Client Support 12 days ago
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Regulatory Relations Consultant City National Bank - Los Angeles, California ). For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles, experience working within 13 days ago
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