Senior Wealth Compliance & Risk Advisor
$85k - $145kCity National Bank
City National Bank is looking for a Compliance Specialist Senior in Wealth Management in Los Angeles. The role includes establishing compliance programs, monitoring client activity, and serving as an internal consultant. Required are a Bachelor's Degree, a minimum of 5 years in bank operations or compliance, and strong communication abilities. Experience with a FINRA Series 7 and knowledge of regulatory laws are preferred, offering a salary range of $85,000 - $145,000 based on skills and location. #J-18808-Ljbffr City National Bank
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Senior Wealth Compliance & Risk Advisor in Los Angeles, CA vacancy
- CNM LLP, based in Los Angeles, is seeking a Senior Associate to assist with SOX compliance and internal audits. This role offers the chance to grow in a collaborative environment while managing diverse project teams. The ideal candidate will possess a CPA or CIA license...Senior
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT What is the opportunity? The Compliance Specialist establishes and implements an effective compliance... ...compliance operations Minimum 5 years of experience with risk management and/or Compliance policies and procedures Additional...SeniorRemote workCity National Bank
Los Angeles, CA4 days ago- USI Insurance Services in California seeks a Private Risk Advisor to provide risk management consultation to high net worth individuals. You will cultivate partnerships with trusted advisors and attract new clients while designing tailored insurance solutions. The ideal...Senior
- Cooley LLP in Los Angeles is seeking a Senior Conflicts Analyst (New Business) to identify, analyze and resolve conflicts for new engagements... ...create conflicts reports, and review related parties to ensure compliance with professional conduct standards. Responsibilities include...Senior
- ...Officer to administer estate and personal trust accounts. This role involves legal review and partnership across departments to ensure compliance and maximize efficiency in managing trust relationships. The ideal candidate will have 8 years of experience in trust...Senior
$100k - $150k
...clients evaluate their risks and develop solutions tailored... ..., and private wealth management products and... ...competitive advantage. As a Senior Risk Consultant based... ...the primary strategic advisor to a diverse book of clients... ...advising) safety and compliance for both FMCSA-...SeniorWork at officeLocal areaShift workNight shift- ...California Edison (SCE) seeks a Cybersecurity Engineering, Risk & Governance Senior Advisor to lead high-impact initiatives and embed cyber... ...improve segmentation, logging, vulnerability management, and compliance readiness, while translating complex risk into actionable...Senior
- ...Senior Wealth Advisor About the Company Respected wealth management firm Industry Financial Services Type Privately Held About the Role The Company is in search of a Senior Wealth Advisor to lead its team. The successful candidate will...Senior
Confidential
Los Angeles, CA3 days ago $170k - $200k
Aon is seeking a Wealth Advisor at the SVP level in Los Angeles to partner with the Ground Control team. This role entails managing client relationships, analyzing investment objectives, and executing financial planning activities while working closely with the Managing...Senior$90k - $100k
City National Bank is seeking a Senior Financial Advisor in Beverly Hills, CA, to serve as the primary contact for wealth management. The advisor will manage affluent relationships... ..., lead investment discussions, and ensure compliance with financial regulations. Candidates...Senior$162.1k - $270.1k
Wilmington Trust is seeking a Wealth Advisor in Los Angeles, California. This role involves leading a client relationship team to develop solutions for clients while managing a book of business. The ideal candidate will have at least 9 years of sales experience in financial...Senior- MAI Wealth Management, Inc. is seeking a Senior Advisory Associate in Los Angeles to act as the primary relationship lead for Ultra-High Net Worth clients. This position demands significant wealth management experience and the ability to manage complex workflows. The ideal...Senior
- M&T Bank is hiring a Wealth Advisor in Los Angeles, responsible for client relationship management, leading a team, and developing sales strategies to grow the client base. The role focuses on implementing comprehensive wealth management strategies and ensuring client...Senior
- CAPTRUST is seeking a Centralized Wealth Planning Senior Specialist to join our team in Los Angeles. You'll work directly with wealth management... ...8 years of experience, including proficiency in eMoney Advisor. This is not a remote position, and employee ownership opportunities...Senior
- Charles Schwab Corporation is seeking a Sr. Manager, Wealth Advisor in Los Angeles. In this role, you will be empowered to drive client outcomes through effective management of ongoing relationships, providing tailored investment advice, and collaborating with a skilled...Senior
- Citibank (Switzerland) AG in West Hollywood is seeking a Wealth Relationship Manager. This role requires developing and deepening relationships with affluent clients, anticipating their complex financial needs while providing holistic financial solutions. The ideal candidate...Senior
$100k
Trajan Wealth LLC in Los Angeles is seeking a proactive Financial Advisor to expand their market presence. This W2 role offers a base salary of $100K plus uncapped variable compensation. Advisors utilize educational seminars to foster client relationships and leverage...Senior- City National Bank is seeking a Senior Financial Advisor in Los Angeles to serve as the primary contact for wealth management, developing business and maintaining relationships with affluent clients. The ideal candidate will possess at least 5 years in investment-related...Senior
- BMO Financial Group in Los Angeles is seeking a senior wealth management professional to lead advisory-based sales and client relationship management for a high-net-worth portfolio. You will coordinate cross-functional experts to craft holistic financial plans and solutions...Senior
$65k - $80.2k
A financial services institution in Beverly Hills seeks a Wealth Management Advisor to lead investment planning and insurance products for clients. Responsibilities include portfolio management and delivering tailored strategies. Ideal candidates will have a Bachelor's...Senior- Harrison Gray Search has partnered with a respected independent wealth management firm to recruit an experienced advisor for a high-impact hunter role. The candidate will steward established ultra-high-net-worth relationships as part of a succession strategy and contribute...Senior
- District Partners in Century City, Los Angeles, is seeking a Senior Associate to support its wealth management team, focusing on long-term UHNW client... ...you’re seeking a path outside of becoming a Financial Advisor while gaining exposure to sophisticated planning and investment...Senior
$158.01k - $276.46k
A leading financial institution is looking for a Senior Wealth Strategist in Los Angeles to sell investment management and advisory services. The ideal candidate should have a minimum of 10 years in institutional sales, with strong communication and analytical skills. Responsibilities...Senior- Compliance Investigations Senior Advisor Join the Clean Energy Revolution. Become a Compliance Investigations Senior Advisor at Southern California Edison... ...gap analysis, and identify strategies for controls and risk mitigation. Facilitate training and ensure effective remediation...SeniorLocal areaRemote workRelocation
- Join the Clean Energy Revolution Become a Compliance Investigations Senior Advisor at Southern California Edison (SCE) and build a better tomorrow. In this... ...analysis, and identifies strategies for controls and risk mitigation. Facilitates training and ensuring the effective...SeniorLocal areaRemote workRelocation
- A growing investment advisory firm in California is looking for a Senior Wealth Advisor to provide financial planning and investment advice to high-net-worth families. The ideal candidate will have 7+ years of industry experience, a portable book of business, and strong...Senior
$125k - $175k
Virtus Investment Partners is seeking an experienced Senior Financial Planner in Los Angeles to support high-net-worth individuals... ...and tax strategies. The role involves collaborating with Wealth Advisors to enhance client experiences and financial outcomes. Candidates...Senior- ZPEED Recruitment is seeking a Senior Wealth Advisor with extensive experience working with High-Net-Worth (HNW) and Ultra-High-Net-Worth (UHNW) clients. This role involves leading client relationships and managing portfolios that integrate public and private markets. The...Senior
- Charles Schwab Careers is seeking a Sr. Manager, Wealth Advisor to enhance client relationships and deliver personalized investment guidance. The ideal candidate will thrive in a collaborative environment, managing high-complexity scenarios and fostering client trust and...Senior
- Charles Schwab is looking for a Sr. Manager, Wealth Advisor in Los Angeles to manage client relationships and provide tailored financial guidance. This role emphasizes collaboration with an advisory team to help clients navigate complex financial landscapes. The ideal...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Wealth Compliance & Risk Advisor. Be the first to apply!
Related searches
- associate financial representative Los Angeles, CA
- financial planning administrator Los Angeles, CA
- patient financial counselor Los Angeles, CA
- financial advisor development program Los Angeles, CA
- international financial advisor Los Angeles, CA
- wealth advisor Los Angeles, CA
- work from home financial advisor Los Angeles, CA
- financial planner cfp Los Angeles, CA
- financial advisor part time Los Angeles, CA
- private wealth advisor Los Angeles, CA