- JPMorgan Chase (Long Beach, CA)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required), and ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- City National Bank (Los Angeles, CA)
- …Dealer * 5 or more years of management and/or supervisory experience * FINRA Series 7 , 66, and 24 *Additional Qualifications* * Bachelor's degree in Business, ... and approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and administrative aspects… more
- Citigroup (Downey, CA)
- …team player able to work without direction . Securities Industry Essentials - SIE, Active Series 7 , 66 (or 63 and 65) licenses . Group 1 Insurance License ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures . Ensure strict adherence to KYC/AML...procedures . Ensure strict adherence to KYC/AML and other compliance norms . Partner with all roles on branch… more
- HSBC (Beverly Hills, CA)
- …, Credit & Risk and Internal Control to ensure a balanced risk operating environment + Series 7 , 66 (in lieu of 63 and 65), California Life and Health insurance ... licenses required In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally… more
- Sacramento County (Sacramento, CA)
- …filing exam. Next filing cut-offs are at 5:00 pm on: 8/5/25, 9/9/25, 10/ 7 /25, 11/12/25, 12/9/25, (final cut-off) Under close supervision, the Park Ranger Recruit ... score is required prior to appointment to this class General Qualifications Compliance with Government Code: Incumbents appointed to this class shall meet the… more
- Veterans Affairs, Veterans Health Administration (Auburn, CA)
- …complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...the impact of psychosocial problems on health care and compliance with treatment. Reference: VA Handbook 5005/120, Part II,… more
- JPMorgan Chase (Los Angeles, CA)
- …understanding of investments, wealth planning, credit and banking concepts + Required Licenses: Series 7 and 66 (or 63 and 65). Unlicensed candidates considered, ... position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. In… more
- HSBC (San Francisco, CA)
- …Compliance , Credit & Risk and Internal Control to ensure a balanced risk operating environment + Series 7 , 63, 65 or 66 (in lieu of 63 and 65), Life and ... Health insurance licenses required + Mandarin and/or Cantonese language In compliance with applicable laws, HSBC is committed to employing only those who are… more
- US Bank (Irvine, CA)
- …- Five or years of experience in the financial services industry - Active FINRA Series 7 , 24, 53, 63 and 65/66 licenses and state insurance licenses **Preferred ... you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with… more
- Sacramento County (Sacramento, CA)
- …with. The next filing cut-offs are at 5:00 pm on: 2/3/25, 4/ 7 /25, 6/2/25, 8/4/25, 10/6/25, 12/1/25 Supervising Registered Nurse - Detention/Correctional Facility is ... the first level supervisory class in this series . Incumbents work under general administrative supervision of a...and procedures + Learn, comply with, and ensure staff compliance with laws, rules, regulations, protocols and procedures, including… more