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Investment compliance associate jobs in California

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Instructor, Vocational Nursing (One-Year Temporary)(Chino Campus) CHINO, CALIFORNIA, US ...requires a continuous investment in faculty and their growth. We depend on faculty to co-design and lead the implementation of initiatives that positively impact students and advance the completion of their goals. Further, we remain closely tied to our community and are seeking faculty who will...
Relationship Manager - Palo Alto, CA PALO ALTO, CALIFORNIA, US ...driven, and detailed compliance environment Ability to think creatively and be comfortable making decisions with the support of your team Degree and/or other professional certifications are helpful; if you don't already have a CFP or degree, our Tuition Reimbursement program can help you obtain...
Relationship Manager- Burbank, CA BURBANK, CALIFORNIA, US ...driven, and detailed compliance environment Ability to think creatively and be comfortable making decisions with the support of your team Degree and/or other professional certifications are helpful; if you don't already have a CFP or degree, our Tuition Reimbursement program can help you obtain...
Looking for Investment Compliance Associate jobs in California? Top Salaries! Full time, part time and contract. CALIFORNIA Visit PerfectJobs4U UK for the widest selection of top UK jobs. Full time, part time and work from home roles.
Assistant Branch Leader - Santa Barbara, CA SANTA BARBARA, CALIFORNIA, US Job Description: A Fidelity Assistant Branch Manager partners with senior management to lead a team of successful sales and service associates, as they prepare to run their own branch. Your visionary spirit enables you to find happiness in all areas of branch life. You understand the ins and outs...
Wealth Management Planning Consultant - Orange County, CA area IRVINE, CALIFORNIA, US ...in accordance with compliance guidelines The Value You Deliver Handling inbound calls and emails generated by a book of clients and collaborating on customer communications Responding to a range of customer needs, to include mutual fund inquiries, asset allocation discussions, brokerage...
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Wealth Management Planning Consultant - South Bay Area PALO ALTO, CALIFORNIA, US ...the page to see all associated job requirements, and any responsibilities successful candidates can expect. The Expertise We're Looking For FINRA Series 7 & 63 licensed; Series 65 or 66 licensed (OR ability to acquire series 65/66 upon hire) and Life Insurance license Financial Services...

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Dining Services - Manager in Training JAMAICA, NEW YORK, UNITED STATES ...benefits to support our associates and their family s health and well-being. Our goal is to promote welfare and health and enhance our associates' and their families' overall quality of life. Benefits - FREE Telemedicine and Prescription Discount Program along with an array of medical, dental...
Dining Services - Manager in Training SCARBOROUGH, MAINE, UNITED STATES ...benefits to support our associates and their family s health and well-being. Our goal is to promote welfare and health and enhance our associates' and their families' overall quality of life. Benefits - FREE Telemedicine and Prescription Discount Program along with an array of medical, dental...
Associate Director, Regulatory Compliance BOSTON, MASSACHUSETTS, US Company Overview Submit your CV and any additional required information after you have read this description by clicking on the application button. We are a Boston-based investment manager that provides global and international equity investment strategies and fund products to institutional...
Associate Director of Real Estate BOSTON, MASSACHUSETTS, US Job Description: The information below covers the role requirements, expected candidate experience, and accompanying qualifications. The Associate Director of Real Estate will be reporting directly to the Vice President of Facilities and assist in overseeing Berklee's diverse portfolio of...
Funds Operations Senior Associate BOSTON, MASSACHUSETTS, US The Fund Operations Team Please read the information in this job post thoroughly to understand exactly what is expected of potential candidates. Arrowstreet is the investment adviser to, and promoter of, a number of pooled investment funds, each of which is managed according to one of our offered...
Associate Actuary BOSTON, MASSACHUSETTS, US Job Description: Associate Actuary Are you ready to apply Make sure you understand all the responsibilities and tasks associated with this role before proceeding. Fidelity Investments Life Insurance Company (FILI) is looking for an Associate Actuary to help drive our future state of reserve...
Mandarin speaking - Stock Plan Services Associate SALT LAKE CITY, UTAH, US ...of Your Role As an associate in Stock Plan Services, you will partner with Fidelity Workplace Investing to service our participants at the highest level possible. As a multilingual Stock Plan Associate you will be expected to provide live language support to our international participants in...
Surveillance & Regulatory Compliance Advisory (AVP) NEW YORK, NEW YORK, US Our client is an investment bank servicing clients in fixed income and equity capital markets globally. They are currently looking for someone to come in to service their fixed income surveillance program and help with all regulatory compliance issues. Maximise your chances of a successful...
Manager, Compliance Advisor MERRIMACK, NEW HAMPSHIRE, US Job Description: The Role Check all associated application documentation thoroughly before clicking on the apply button at the bottom of this description. The Compliance Advisor is responsible for conducting compliance activities in support of Fidelity's retail annuity and life insurance business...
Senior Associate, Stock Plan Administration ENGLEWOOD, COLORADO, US ...administrative support, compliance, and reporting services. Provide day to day stock plan administration support to client, may include loading new grants, handling equity vesting/distributions, crafting service requests, and managing indicative records. Act as the conduit between client's...
Community Engagement Associate III PHILADELPHIA, PENNSYLVANIA, US ...issues, and consumer compliance regulations, including the Community Reinvestment Act. General knowledge of banking and bank regulations. Other Requirements: Valid driver s license to travel and facilitate community development outreach and programs. Travel up to 25% of time. Physical...
Director Software Engineering DURHAM, NORTH CAROLINA, US Job Description: The Role Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application. Investment Compliance Technology team is seeking a Senior Java/Scala tech lead to work on the development and enhancement of a brand-new...
Senior Legal Counsel, Fidelity Private Wealth/Institutional Distribution SMITHFIELD, RHODE ISLAND, US ...registered investment advisers (RIA), and institutional investor issues associated with alternatives matters. Experience working with placement agents, broker-dealers, and alternatives marketplaces Experience handling private offering advertising and performance issues under FINRA...
Chapter Leader - FHA and FI Data BOSTON, MASSACHUSETTS, US Job Description:The Role As the FHA & FI (FAMS, High Income, Alternatives & Fixed Income) Data Chapter Leader, you blend deep data expertise & a passion for the craft of software engineering with a strong ability to coach, mentor, and develop associates. Please make sure you read the following...
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