3 jobs matching your criteria
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Senior Compliance Analyst
access_time Posted 5 days ago
account_balance Atria Wealth Solutions
location_on San Diego
Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower ... Identify, investigate, and resolve compliance violations and internal referrals. * Provide prompt ...
Territory Sales Manager
access_time Posted 5 days ago
account_balance Cornerstone Building Brands
location_on San Diego
Address customer complaints promptly, investigate issues, and recommend solutions to ensure ... Thorough understanding of the building products industry and sales management experience in dealer ...
Branch Examiner
access_time Posted 3 days ago
account_balance Realta Wealth
location_on San Diego
... investigations as needed. Qualifications: * FINRA Series 7 and 24 licenses required. * Bachelor ... Knowledge of broker-dealer operations and compliance practices. * Familiarity with regulatory ...
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