Investment Advisor Jobs in San Jose

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Search Results - Investment Advisor Jobs in San Jose

Investment Management Counsel

Solomon Page-San Jose

in-house legal department supporting a dynamic investment platform with a broad range of investment strategies and business lines. The role offers meaningful exposure to regulatory, fund, corporate, and investment advisory matters, as well...

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Financial Advisor

San Jose

that focuses on: Planning Experience • Asset & Income Protection • Education Funding • Investment & Advisory Services • Trust Services • Retirement Solutions • Business Needs Analysis Northwestern Mutual’s proprietary planning software helps you educate...

icims.com - 2 weeks ago

Legal & Compliance Associate

JW Michaels & Co.-San Jose

the mechanics of a registered investment adviser compliance program and applies that knowledge to keep the firm in good standing. Translates regulatory requirements into practical, operational steps. Stays current on relevant SEC guidance and flags changes...

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Regional Vice President Beacon Capital Management - Southern California Region

San Jose

relationships with targeted Registered Investment Advisors to successfully market and sell BCM's advice and services. Responsibilities: • In conjunction with Sales Management, develop sales goals, business and marketing plans to grow sales, market share...

sammonsfinancialgroup.com - 2 weeks ago

Chief Compliance Officer / Deputy General Counsel

Cardea Group-San Jose

and ongoing compliance obligations • Advise on key regulatory requirements impacting investment advisers and private funds • Monitor and enforce policies related to conflicts of interest, personal trading, MNPI, and code of ethics • Review and approve investor...

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Senior Wealth Advisor

Beacon Pointe Advisors LLC-San Jose

Advisors Beacon Pointe Advisors is one of the nation’s largest Registered Investment Advisor firms with headquarters in Southern California and affiliate offices nationwide. Beacon Pointe provides advisory services to a range of clients, including...

primepay-recruit.com - 1 month ago

Chief Compliance Officer (CCO) — US | Olive Asset Management

Olive Asset Management-Palo Alto (CA), 15 mi from San Jose

regulations • Coordinate with third-party systems for personal securities trading and periodic certifications What we're looking for Must-haves • 5+ years of compliance experience at an SEC-registered investment adviser, VC/PE fund, or financial institution...

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Chief Compliance Officer (CCO) -- US | Olive Asset Management

Olive Asset Management-Palo Alto (CA), 15 mi from San Jose

yesterday

Financial Consultant - San Francisco, CA

Fidelity Investments-Hayward, 23 mi from San Jose

be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement...

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