- Wells Fargo (San Diego County, CA)
- …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Navy Federal Credit Union (San Diego, CA)
- …records and ensure compliance with Securities and Exchange Commission ( SEC ), FINRA , other regulatory agency rules and Navy Federal guidelines/policies. ... of broker/dealer operations methods, and procedures + Working knowledge of SEC and FINRA regulations regarding the maintenance of securities records + Upon… more
- TEKsystems (San Diego, CA)
- …escalated issues and ensure regulatory compliance . + Maintain up-to-date knowledge of FINRA , SEC , and state regulations. What to Expect + Career Advancement: ... + Serve as the primary support for advisors regarding compliance , registration, and FINRA licensing requirements. +...general securities, and other financial products. + Familiarity with FINRA , SEC , and state regulations. + Licensing… more
- City National Bank (Los Angeles, CA)
- …advise on a broad range of matters under the banking and securities laws, including the SEC , FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to ... legislation, new product development, and documentation and in dealings with the OCC, SEC , FINRA and other US regulatory authorities. * Conduct research and… more
- City National Bank (Los Angeles, CA)
- …of Client Service or Operational experience at a Broker Dealer. * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National Financial Systems ... and coding updates when policy and procedures change. Prepare all required SEC 17AC3-4(books and records) documents, letters, and correspondence needed for Program… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …US GAAP, rules and regulations of the Financial Industry Regulatory Authority (" FINRA "), Securities and Exchange Commission (" SEC "), and various state regulatory ... Reporting: + Monitor changes in regulatory reporting requirements (eg, FINRA ) and ensure the firm's compliance with...requirements (eg, FINRA ) and ensure the firm's compliance with applicable rules and regulations. + Prepare and… more
- Raymond James Financial, Inc. (Pasadena, CA)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… more
- US Bank (Glendale, CA)
- …- Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ... - To be eligible for business incentives, must have FINRA SIE, Series 6 or 7, 63 registrations and...- Proven understanding of operations, policies, procedures, regulations and compliance requirements - Strong analytical skills with an emphasis… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …**Education** High School (HS) (Required) **Work Experience** **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - ... a first point of contact for resolving customer queries and complaints. Assess compliance with established standards and protocols for routine inquiries. Carry out a… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. Skill in * Operating client relationship manager system and… more