- 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
- Sacramento Municipal Utility District (Sacramento, CA)
- …**Nature and Scope** There are four (4) levels in this job classification series that have similar job content but with progressively more challenging degrees and ... based upon assessment of an individual's experience and performance) within the series :** + **Entry** : Incumbent acquires knowledge, skills and abilities to perform… more