- 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
- TIAA (Sherman Oaks, CA)
- …building long-lasting relationships with affluent clients or equivalent experience; Required ** FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; ... Series 66 **Licenses and Certifications** + Life and Health Insurance License (Resident State) - Multiple Issuers required + Certified Financial Planner (CFP) - Certified Financial Planner Board of Standards preferred Or + Chartered Financial Analyst - Level I… more
- PNC (San Diego, 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 (San Jose, CA)
- …for the_ _position: applicable_ _regulation FDIC, Safe Act/Loan Originators and FINRA ._ **Minimum Education Requirement:** High School Diploma / GED / Secondary ... School or equivalent **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… more
- US Bank (San Francisco, 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
- 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
- PNC (Calabasas, 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
- Raymond James Financial, Inc. (Sacramento, CA)
- …position. Must live near a major airport hub.** **Licenses/Certifications** : + ** FINRA SIE** - Not required, but _highly preferred_ **Responsibilities** : + Resolve ... queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for interpretation of policy. + Interpret data and identify possible answers. Involves… more
- JPMorgan Chase (Long Beach, CA)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life ... licenses are required. All unlicensed applicants must obtain their licenses within 180 days of hire + Operate within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training +… more
- City National Bank (Los Angeles, CA)
- …ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, MSRB Rules and the Dodd Frank Act especially the Volcker Rule is ... desired but not required if candidate can demonstrate the ability to quickly synthesize regulations or has an eagerness to learn. * Possesses knowledge of capital markets products * Develops a general knowledge of the business operations, regulatory and… more