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Dm Stone Jobsinbrokerage.com jobs - Concord, CA

Viewing 1 - 3 of 3 jobs

  • Licensed Branch Operations Manager

    Dm Stone Jobsinbrokerage.com - Walnut Creek, CA

    National brokerage firm is seeking an experienced branch operations/compliance manager for a highly active branch (near BART in Walnut Creek). Requires FINRA licenses 7/66/9/10. Will be training, mentoring and supervising support staff...

    30+ days ago from Net-Temps

  • COMPLIANCE DIRECTOR

    Dm Stone Jobsinbrokerage.com - Orinda, CA

    You will be responsible for administering the Compliance testing program across the firm globally. Support the Global CCO in maintaining the firm?s US and global compliance programs Participate in transversal global initiatives and...

    30+ days ago from Net-Temps

  • COMPLIANCE MANAGER

    Dm Stone Jobsinbrokerage.com - Orinda, CA

    Experienced compliance officer at a investment management firm who comes from the Investment Advisor side of the business. Looking for someone who knows MF entities; portfolio compliance; personal trading compliance and a solid...

    30+ days ago from Net-Temps

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