• Traveling Transition Support Associate - 100%…

    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
    Raymond James Financial, Inc. (08/21/25)
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  • Sr. Audit Manager- Wealth Management

    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
    City National Bank (08/21/25)
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  • Bilingual Relationship Manager, Vice President…

    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
    MUFG (08/20/25)
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  • Senior Model Validation Analyst - Compliance…

    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 (08/19/25)
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  • Relationship Executive - Applied Technology…

    JPMorgan Chase (San Francisco, CA)
    …creative; uses sound judgment and navigates ambiguity to get things done + 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 and formal credit training preferred + Strong committed team player, looking to add to a national team of likeminded, passionate Innovation Economy bankers… more
    JPMorgan Chase (08/17/25)
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  • Commercial Banker - Mid-Corporate Banking - Vice…

    JPMorgan Chase (Los Angeles, CA)
    …knowledge + Corporate finance expertise and strong transaction execution skills + 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 and formal credit training + Sales management, business development skills, proficiency in building and maintaining positive client relationships +… more
    JPMorgan Chase (08/17/25)
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  • Sr Portfolio Manager - Private Asset Management

    TIAA (Walnut Creek, CA)
    …Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 65 **Physical Requirements** + Physical ... Requirements: Sedentary Work **Career Level** 9IC **PLEASE NOTE:** TIAA's Sr Portfolio Manager - Private Asset Management is an individual client-facing, investment manager opportunity (wealth management). Candidates should possess this level of experience for… more
    TIAA (08/16/25)
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  • Field Sales Mortgage Non-Bank Branch Mgr -OC

    US Bank (Los Angeles, 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 (08/16/25)
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  • Branch Manager - Beverly Hills

    US Bank (West Hollywood, 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 (08/16/25)
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  • Underwriter IV - Commercial

    PNC (Los Angeles, 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 (08/16/25)
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