Broker Dealer Jobs in Santa Clara
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Search Results - Broker Dealer Jobs in Santa Clara
Deep Market Making Inc.Santa Clara
Registered Broker-Dealer Partner — Regulation Crowdfunding
Deep Market Making Inc. (DeepMM)
Contract engagement | United States | Remote
THE ENGAGEMENT
DeepMM seeks an SEC-registered, FINRA-member broker-dealer firm to serve as the sole...
CDC Small Business FinanceSan Jose, 4 mi from Santa Claraworkable.com
About the Organization
The Momentus Capital branded family of organizations - which includes Capital Impact Partners and CDC Small Business Finance, Momentus Securities (an SEC-registered broker-dealer, MSRB-registered municipal advisor, a FINRA...
Weaver PartnersSanta Clara
with Financial Advisors, Recordkeepers, CPAs, Broker-Dealers and other Centers of Influence while serving as a knowledgeable retirement plan resource.
What You’ll Do
• Build and manage a regional sales territory
• Develop relationships with Financial Advisors...
Fremont, 15 mi from Santa Claraicims.com
all assigned sales and referral targets.
Operations and Compliance
• Ensure adherence to all regulatory and internal compliance requirements in all sales activities.
• Ensure all broker dealer compliance/attestation/annual compliance certifications...
Innovative DrivenSanta Clara
Innovative Driven is currently seeking a dynamic attorney with at least five years of experience as a practicing litigation attorney, representing broker-dealers, to join the amazing Brokerage and Institutional Litigation team at one of our most...
Fremont, 15 mi from Santa Claraicims.com
heavy phones, customer contact and other support functions. Deals with confidential and sensitive documentation regarding client accounts. Interacts with bank associates, various personnel for the Broker Dealer insurance companies and department...
TradeZeroSanta Clara
trading platform tailored to the needs of the ever-growing community of sophisticated traders.
With broker dealers in the Bahamas, US and Canada, we offer retail traders low-to-no-cost stock trading and direct market access to U.S. equities and equity...
MercorSan Francisco, 39 mi from Santa Claracareers-page.com
patterns, and concentration thresholds.
Qualifications
Must-Have
• 3+ years in US securities / broker-dealer / RIA compliance or supervision.
• Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC...
SherpasSanta Clara
negotiable
• You know this market. You have sold enterprise software into RIAs, aggregators, broker-dealers or wealth management platforms. You bring a genuine relationship map and an understanding of how these firms make decisions.
• You create...
MercorSan Francisco, 39 mi from Santa Claracareers-page.com
patterns, and concentration thresholds.
Qualifications
Must-Have
• 3+ years in US securities / broker-dealer / RIA compliance or supervision.
• Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC...
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