- Nuveen Investments (San Francisco, CA)
- …(Degree) Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63 **Physical Requirements** ... + Physical Requirements: Sedentary Work **Career Level** 8IC **QUALIFICATIONS:** **Required:** + Minimum of 10 years of experience in the asset management industry **Preferred:** + Minimum of 7 years experience in the CLO and/or structured credit industry +… more
- Coinbase (Sacramento, CA)
- …* Certifications: PSP, CPP, CHPA, or CEM. * Regulatory exposure: SOX, FFIEC, FINRA , GDPR, CCPA. Position ID: 2819 \#LI-Hybrid *Pay Transparency Notice:* Depending on ... your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + benefits (including medical, dental, vision and 401(k)). Pay Range: $302,515-$355,900 USD Please be advised… more
- US Bank (Glendale, 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)
- …of individuals with certain specified criminal history for the position: FDIC 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
- PNC (Stockton, 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
- MUFG (Los Angeles, 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
- SMBC (Los Angeles, CA)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
- US Bank (San Jose, 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
- JPMorgan Chase (San Francisco, CA)
- …structure and negotiate accordingly + Extensive knowledge of products and services + FINRA Series 79, 63 and Securities Industry Essentials licenses required or must ... obtain within 180 days of hire **Preferred Qualifications, Capabilities and Skills** + Bachelor's degree preferred + Superior knowledge of the market dynamics and its business environment preferred + Excellent problem solving, oral, and written communication… more
- Lincoln Financial (Sacramento, CA)
- …+ 4-year degree or equivalent work experience + Demonstrated critical thinking skills + FINRA S6 license or obtains within 90 days of hire _Nice-to-haves:_ + ASPPA ... or other industry certifications, RPF will be required to obtain + Strong working knowledge of retirement plan administration + Strong project management skills + Strong presentation skills **Application Deadline** Applications for this position will be… more