- US Bank (Roseville, CA)
- …the Client Relationship Consultant duties, Premier Client Relationship Consultants hold FINRA registrations in order to refer clients to registered representatives ... Relationship Consultant. Premier Client Relationship Consultants must actively maintain FINRA registrations to meet defined referral client and wealth management… more
- Edward Jones (Davis, 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 (San Francisco, 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
- 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
- Navy Federal Credit Union (Vacaville, CA)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account ... ensuring documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare standard/special reports… more
- Equitable (San Francisco, 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
- Coinbase (Sacramento, CA)
- …This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker-dealer) in meeting its regulatory obligations to assist the Product ... with the principals to design and document the firm's supervisory structure ( FINRA Rule 3110) to effectively supervise all business activities and associated… more
- Equitable (Los Angeles, CA)
- …be authorized to work in the United States **Training & Development** * FINRA Sponsorship: provided for required FINRA licensing * Preliminary Employment Period ... on a 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations. * Stable Pay: After successfully completing PEP, you… more
- JPMorgan Chase (San Jose, CA)
- …planning strategies. + Eagerness to engage directly with clients and advisors. + Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series ... as a Supervisory or Compliance professional preferred. + Advanced knowledge of FINRA , MSRB, and SEC rules and regulations. + Experience working alongside Advisors… more
- US Bank (Walnut Creek, CA)
- …degree preferred) - Five or more years of investment industry experience preferred - FINRA SIE, Series 7, Series 63 and 65/or 66 registrations and life, variable ... the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more