- Equitable (Folsom, CA)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations. + **Stable Pay** : After...they are ready to apply. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
- Wells Fargo (San Francisco, CA)
- …skills + Life Sciences Background, experience or education **Job Expectations:** + FINRA Series 63, 79, and the Securities Industry Essentials (SIE) must be ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Ability to...CA 94105 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing… more
- Edward Jones (Grass Valley, 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 ... Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses...ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training… more
- Equitable (Los Angeles, CA)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... on a 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations. + **Base Salary** : After successfully completing… more
- Robert Half Legal (San Diego, CA)
- …Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established financial services ... regulatory compliance and risk mitigation. + Respond to and manage FINRA arbitrations and regulatory inquiries, including overseeing document production and drafting… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …as the Company's FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly, ... quarterly and annual filings; administrator of FINRA Gateway system for Firm); + Serves as a...Accounting or Finance; MBA or CPA preferred; + Holds FINRA Series 27 (FINOP) license (or willing to obtain).… more
- JPMorgan Chase (Temecula, CA)
- …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7, 66 (or equivalent) is required + A valid and active FINRA Series ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- T. Rowe Price (San Francisco, CA)
- …experience AND 5+ years of total relevant work experience. + This role requires the FINRA Series 7 and Series 66 licenses. Licenses may be obtained within first 3 ... and communication skills + High attention to detail and documentation process FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- Wells Fargo (Los Angeles, CA)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Francisco, Los Angeles): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- US Bank (Irvine, CA)
- …Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA , SEC, MSRB, OCC, and internal supervisory policies and procedures. In this ... of experience in the financial services industry - Active FINRA Series 7, 24, 53, 63 and 65/66 licenses...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more