• VP Compliance, US Core Control Room (San Francisco…

    TD Bank (San Francisco, CA)
    …Research against Investment Banking transactions. + A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards. + Understanding of US ... Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the Securities Act of 1933) + Excellent verbal and written communication skills and strong professional demeanor. + Proven ability to work well on teams, showing initiative, a positive… more
    TD Bank (08/16/25)
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  • Crisis Management Analyst

    City National Bank (Los Angeles, CA)
    …managing to regulatory requirements including but not limited to: FFIEC, OCC, FINRA , Federal Reserve * Provides backup for Crisis Management Supervisor as necessary ... WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Bachelor's Degree or equivalent * Minimum 5 years of Crisis Management experience * Minimum 3 years of financial services experience * Minimum 3 years of project management experience *Additional… more
    City National Bank (08/15/25)
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  • Business Banking Relationship Manager

    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 (08/15/25)
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  • Client Relationship Consultant (Banker) 1 - 3,…

    US Bank (Carmichael, 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 (08/14/25)
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  • Small Business Specialist 3 - San Luis Obispo

    US Bank (Arroyo Grande, 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 (08/14/25)
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  • Relationship Banker - Golden Gate Market - San…

    JPMorgan Chase (San Francisco, 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
    JPMorgan Chase (08/14/25)
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  • Sales Consultant - Bilingual Korean Required

    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 (08/14/25)
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  • Wealth Management Specialist (FP)

    Bank of America (Irvine, CA)
    …of individuals with certain specified criminal history for the position: FDIC; 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 orientation,… more
    Bank of America (08/14/25)
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  • US Experienced Financial Advisor

    Edward Jones (Ontario, CA)
    …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview **Skills/Requirements** Financial advisors succeed by demonstrating a unique… more
    Edward Jones (08/13/25)
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  • Full-Time - Public Finance Investment Banking…

    Raymond James Financial, Inc. (Dana Point, CA)
    …or a related field. * 0‐3 years of related experience. **Licenses/Certifications:** * FINRA Securities Industry Exam (SIE), Series 52 License, Series 63 License, and ... Series 50 License within (12) months of hire **Location: Dana Point, CA** more
    Raymond James Financial, Inc. (08/13/25)
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