- Wells Fargo (San Francisco, CA)
- …or CFA **Job Expectations:** + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ... position offers a hybrid work schedule + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for… more
- Wells Fargo (Laguna Niguel, CA)
- …registration + State Insurance license(s) + 3+ years of experience in a licensed financial services position + Customer service focus with experience ... it here. At Wells Fargo, we're more than a financial services leader - we're a global...candidate upon offer acceptance + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is… more
- Wells Fargo (Woodland Hills, CA)
- …and coach on operational risk **Required Qualifications:** + 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or ... role, you will:** + Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other… more
- Wells Fargo (San Jose, CA)
- …in-depth evaluation + Advise customers on various aspects of recommended and available financial options and services + Maintain deep knowledge and understanding ... of Wells Fargo's banking, credit and investment financial solutions and services + Identify client...management culture + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is… more
- Raymond James Financial, Inc. (Pasadena, CA)
- …Finance **Work Experience** **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series ... balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and...66_RA - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more
- Robert Half Finance & Accounting (Foothill Ranch, CA)
- …least 3-5 years in a leadership role. * Previous experience in retail finance or financial services is essential. * Proficiency in financial software and ... a dynamic and detail-oriented individual with a strong background in accounting, financial planning, and regulatory compliance. Based in Foothill Ranch,… more
- Raymond James Financial, Inc. (CA)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... or equivalent and three (3) years experience in the financial services industry, preferably including related service experience. * Associates and/or… more
- MUFG (Los Angeles, CA)
- …+ Bachelor's degree with 6+ years' experience in product management, operations, service , or business analytics role in a financial environment. + ... RFP responses and respond to questions and requests from Service and Sales. + Effectively communicate with sales staff...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
- City National Bank (Beverly Hills, CA)
- … regulatory experience * Minimum 7 years leading legal, governance and/or regulatory programs in the financial services industry *Additional ... understanding of regulatory and risk management in the financial services industry. * Excellent executive communication skills, presentation development and… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …High School (HS) (Required) **Work Experience** **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), RA - Investment Adv Rep - ... for routine inquiries. Carry out a range of customer service activities, including handling customer cases and inquiries that...Financial Industry Regulatory Authority (FINRA), Securities Industry… more