6 Compliance Advisor Jobs in California, United States
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  • Compliance Advisor
  • California, United States
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Compliance Advisor, RIA Compliance

Overview The RIA Compliance team is responsible for managing and leading compliance efforts to support the RIA Services group (an internal team that is focused on supporting our “fee-only” advisors). RIA ...

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Commonwealth Equity Services, Inc.
San Diego United States
  • Commonwealth Equity Services, Inc.
  • in San Diego, CA
Overview The RIA Compliance team is responsible for managing and leading compliance efforts to support the RIA Services group (an internal team that is focused on supporting our “fee-only” advisors). RIA ...
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Compliance Advisor, Compliance Operations

Overview Are you a proactive, objective, and analytical problem solver with experience in compliance or in a supervisory role? Do you currently hold FINRA Series 7 and 24 securities registrations? As a compliance ...

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Commonwealth Equity Services, Inc.
San Diego United States
  • Commonwealth Equity Services, Inc.
  • in San Diego, CA
Overview Are you a proactive, objective, and analytical problem solver with experience in compliance or in a supervisory role? Do you currently hold FINRA Series 7 and 24 securities registrations? As a compliance ...
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Compliance Advisor, Branch Audit

Overview As a compliance advisor on the Branch Audit team, you will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory ...

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Commonwealth Equity Services, Inc.
San Diego United States
  • Commonwealth Equity Services, Inc.
  • in San Diego, CA
Overview As a compliance advisor on the Branch Audit team, you will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory ...
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Compliance Advisor, Branch Audit

Overview As a compliance advisor on the Branch Audit team, you will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory ...

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Commonwealth Equity Services, Inc.
San Diego United States
  • Commonwealth Equity Services, Inc.
  • in San Diego, CA
Overview As a compliance advisor on the Branch Audit team, you will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory ...
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Compliance Advisor, Supervisory Controls Unit

Overview Our Supervisory Controls Unit is responsible for testing and verifying firm policies and procedures to ensure that Commonwealth fulfills its regulatory obligations as an investment adviser, broker/dealer, and ...

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Commonwealth Equity Services, Inc.
San Diego United States
  • Commonwealth Equity Services, Inc.
  • in San Diego, CA
Overview Our Supervisory Controls Unit is responsible for testing and verifying firm policies and procedures to ensure that Commonwealth fulfills its regulatory obligations as an investment adviser, broker/dealer, and ...
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Compliance Advisory Manager

Reporting to the Compliance Director Advisory Program, the Sr. Compliance Manager will be responsible for providing governance, oversight, review, and challenge to support key business units whilst ensuring ongoing ...

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Silicon Valley Bank
Santa Clara United States
  • Silicon Valley Bank
  • in Santa Clara, CA
Reporting to the Compliance Director Advisory Program, the Sr. Compliance Manager will be responsible for providing governance, oversight, review, and challenge to support key business units whilst ensuring ongoing ...
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Compliance Advisor Jobs in California, United States