- 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
- PNC (Merced, 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
- PNC (Temecula, 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
- Principal Financial Group (San Francisco, CA)
- …diligence, reporting). + CFA Level I or progress preferred but not required. + FINRA licensing including SIE or equivalent, series 7 and series 63 required within 6 ... months + Must be able to attend to and prioritize day-to-day demands while maintaining a strategic, analytical focus. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a… more
- JPMorgan Chase (San Diego County, CA)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and regulatory banking… more
- City National Bank (San Francisco, CA)
- …or Ultra High Net Market markets * 2 + years delivering formal client presentations * FINRA Series 7 and 63 or 66 licenses * Ability to travel 40-50% of the time ... *Additional Qualifications* * CFA - Chartered Financial Analyst (or in process of becoming CFA Charterholder) * Highly competitive and goal-oriented * A focus on sales and new business development * Masters Degree preferred * Working knowledge of portfolio… more
- JPMorgan Chase (San Francisco, CA)
- …leverage internal resources + Strong knowledge of regulatory and control framework + FINRA securities licenses 79 and 63 are required for the position; however, ... unlicensed candidates will be considered and will need to obtain licenses (have 90 days from start date per license) to stay in the role FEDERAL DEPOSIT INSURANCE ACT: This position is subject to Section 19 of the Federal Deposit Insurance Act. As such, an… more
- JPMorgan Chase (San Francisco, CA)
- …capabilities, and skills: + 5 plus years' experience in Financial Services industry + FINRA Series 7 and 66 licenses required + Bachelor's degree required + Proven ... ability to be a self-starter, act as an end-to-end owner of tasks and work independently in a fast-paced environment + Proactively identify and delivery appropriate solutions that address the needs of our clients + Ability to communicate effectively with… more
- Bank of America (San Diego County, CA)
- …with certain specified criminal history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by a common purpose to help ... make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive… more
- PNC (San Francisco, 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