- Nevada County (Nevada City, CA)
- Code Compliance Officer I Print (https://www.governmentjobs.com/careers/mynevadacounty/jobs/newprint/5066166) Apply Code Compliance Officer I Salary $72,143.88 ... Full Time Job Number 2025-0201 Department Cannabis Policy and Compliance Opening Date 09/03/2025 Closing Date 9/17/2025 11:59 PM...Officer I is the entry level position in the series and is considered a significant local government profession… more
- Guardian Life (Sacramento, CA)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- MetroLink (Los Angeles, CA)
- …DISTINGUISHING CHARACTERISTICS This is the entry level in the Contract and Compliance Administrator series . At this level, assignments are generally limited ... Special Services Employee (TEMP - Contract & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5052293) Apply Special Services… more
- Bank of America (Los Angeles, CA)
- …policies and procedures **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 10 (or Series 8) equivalent licenses...Responds to and resolves complaints, working with Litigation or Compliance personnel, regarding operations/services received from clients or regulators.… more
- Bank of America (Newport Beach, CA)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Broadcom (Palo Alto, CA)
- …This position will be involved in developing content to perform security compliance benchmarks in VCF Operations using salt as the underlying technology to ... Master's degree plus 10+ years of related experience, or PhD plus 7 + years of related experience. **Additional Job Description:** **Compensation and Benefits** The… more
- Wells Fargo (Van Nuys, CA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Bank of America (Walnut Creek, CA)
- … to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (San Diego, CA)
- …prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Wells Fargo (Los Angeles, CA)
- …leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10, and 63 examinations (or FINRA recognized ... employee engagement and growth in a branch or a series of branches + Responsible for overall management of...all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +… more