- Bank of America (San Diego County, CA)
- …with certain specified criminal history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by a common purpose to help ... Schedule: * Monday - Fridays and rotating Saturdays Required Qualifications: * Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If you do not… more
- TIAA (Sherman Oaks, CA)
- …years building long-lasting relationships with affluent clients or equivalent experience; Required ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; ... Series 65; Series 66 **Licenses and Certifications** + Life and Health Insurance License (Resident State) - Multiple Issuers required + Certified Financial Planner (CFP) - Certified Financial Planner Board of Standards preferred Or + Chartered Financial… more
- Bank of America (San Jose, CA)
- …+ Referral Identification + Preferred CRPC designation **Required Qualifications:** + Series 7 , 63/65 or 66 or equivalent; must obtain all state registrations held ... for the_ _position: applicable_ _regulation FDIC, Safe Act/Loan Originators and FINRA ._ **Minimum Education Requirement:** High School Diploma / GED / Secondary… more
- City National Bank (Los Angeles, CA)
- …ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, MSRB Rules and the Dodd Frank Act especially the Volcker Rule is ... YOU NEED TO SUCCEED? *Required Qualifications** * Bachelor's Degree or equivalent * Minimum 7 + years of audit experience in an internal audit role within the banking… more
- US Bank (West Hollywood, CA)
- …partners that are centered around US Bank products and services. 7 . Demonstrates mastery at delivering an exceptional customer experience, deepening relationships, ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- TD Bank (San Francisco, CA)
- …Legal as needed. **Job Requirements and Qualifications:** + Bachelor's degree and 7 + years relevant experience. + Previous experience with reviewing Research against ... Investment Banking transactions. + A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards. + Understanding of US Research Safe… more
- Bank of America (Irvine, CA)
- …Building + Administrative Services + Process Simplification **Required Qualifications:** + Series 7 , 63/65 or 66 or equivalent; must maintain all state registrations ... of individuals with certain specified criminal history for the position: FDIC; FINRA **Minimum Education Requirement:** High School Diploma / GED / Secondary School… more
- Edward Jones (Ontario, CA)
- …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... to think critically + Passion for new opportunities **Candidate qualifications:** + Series 7 and Series 66 required + Experience in financial services working with… more
- Bank of America (Los Angeles, CA)
- …**Key Qualifications for the role:** + Candidates are **required** to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series ... hiring of individuals with certain specified criminal history for the position: FDIC; FINRA . **Shift:** 1st shift (United States of America) **Hours Per Week:** 40… more
- Bank of America (Oxnard, CA)
- …with certain specified criminal history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by a common purpose to help ... client needs and potential product services recommended **Required** **Qualifications** : + Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If you do… more
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