- Bank of America (San Gabriel, CA)
- …to new technology or applications. **Desired Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a minimum ... of one year of financial services industry or sales experience **Skills:** + Client Experience Branding + Client Solutions Advisory + Investment Management + Pipeline Management + Referral Management + Client Management + Customer and Client Focus + Portfolio… more
- Citizens (San Francisco, CA)
- …support to meet client needs effectively. Only candidates with active/required FINRA License will be considered. Primary responsibilities include + Client ... relationship management, which includes developing and maintaining strong relationships with high net worth/ultra HNW clients. + Client communication and education, which includes the communication of investment updates, market insights, and performance… more
- US Bank (Irvine, CA)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
- Bank of America (San Francisco, CA)
- …hiring of individuals with certain specified criminal history for the position: FDIC; FINRA . **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 ... Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin,… more
- Bank of America (San Francisco, CA)
- …specified criminal history for the position: FDIC; Safe Act; Loan Originators; and FINRA **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 Bank ... of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin,… more
- MUFG (Menlo Park, CA)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- PNC (Cupertino, CA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- Bank of America (Sacramento, CA)
- …specified criminal history for the position: FDIC; Safe Act; Loan Originators; and FINRA . **Shift:** 1st shift (United States of America) **Hours Per Week:** 37.5 ... Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin,… more
- PNC (CA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- US Bank (Napa, CA)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more