Senior Associate, Regulatory Supervision

clients Provides regulatory oversight by monitoring division CAT/CAIS filings and reports and assists with resolution... experience FINRA Series 7, 63/66, 24 requires FINRA Series 57, 9/10 preferred Knowledge of CAIS/CAT, Microcap Securities...

Lugar: Pasadena, CA | 02/10/2026 21:10:45 PM | Salario: S/. No Especificado | Empresa: Wedbush Securities

Operations Associate

(Fidelity, Schwab, PKS, SEI, Orion, CAIS, etc.) Serve as an administrator for key technology systems Manage user access... centralized account opening team using CAIS Alternative Investment platform Collaborate with advisors and operations team members...

Lugar: Alpharetta, GA | 10/09/2026 17:09:29 PM | Salario: S/. No Especificado | Empresa: Merit Financial Advisors