- City National Bank (Los Angeles, CA)
- …* Bachelor's Degree or equivalent * Minimum 5 years of experience working in financial Industry, preferably in a regulatory -facing role * Minimum 5 years of ... * REGULATORY RELATIONS ANALYST* WHAT IS THE OPPORTUNITY? Responsible...1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County,… more
- City National Bank (Los Angeles, CA)
- …in-house legal department of a financial institution or advisory firm, and/or financial services regulatory agency or commensurate experience * Minimum ... WHAT IS THE OPPORTUNITY? Senior Counsel will provide general regulatory and transactional support to the Bank and its...and custody within a bank, advisory firm, or other financial services firm. *Additional Qualifications* * Ability… more
- LA Care Health Plan (Los Angeles, CA)
- …and special projects. + Provides timely and accurate deliverables to ensure financial solvency compliance with regulatory and contractual requirements for plan ... Financial Compliance Auditor III Finance Job Category: Accounting/Finance...of Managed Health Care (DMHC), Department of Health Care Services (DHCS), Centers for Medicare and Medicaid Services… more
- Wells Fargo (San Diego County, CA)
- …+ Ability to manage multiple and competing priorities + 4+ years of financial services industry experience + Experience in branch office supervision, compliance, ... addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Holdings, Inc. and its subsidiaries (collectively, "Dunham") is a thought leader in the financial services industry. The way we work is a direct reflection of ... accounting standards, such as US GAAP, rules and regulations of the Financial Industry Regulatory Authority ("FINRA"), Securities and Exchange Commission… more
- Raymond James Financial, Inc. (San Jose, CA)
- …Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... of team/personal objectives. Supervise a team providing administrative and service operations support and have deep expertise in the...Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA -… more
- Wells Fargo (South Lake Tahoe, CA)
- …you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, ... in the top three - making us the #1 financial services employer - on the 2025...with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6… more
- Raymond James Financial, Inc. (San Francisco, CA)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... School Diploma or equivalent and five (5) years of financial services industry service experience....6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), RA -… more
- Raymond James Financial, Inc. (Walnut Creek, CA)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... School Diploma or equivalent and five (5) years of financial services industry service experience,...6 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65… more
- Raymond James Financial, Inc. (San Diego, CA)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... Service Associate who is a motivated, detail oriented and...12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65… more