• Treasury Management Team Lead- San Francisco…

    US Bank (San Jose, 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 (08/08/25)
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  • Government and Higher Education Relationship…

    US Bank (San Diego, 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 (08/08/25)
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  • Peak time Client Relationship Consultant (Banker)…

    US Bank (Rohnert Park, 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 (08/08/25)
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  • Infrastructure Architect-MQ

    Broadridge Financial Solutions (El Dorado Hills, CA)
    …observability tooling (Datadog, similar others). + Exposure to regulatory environments ( FINRA , SEC, etc.) and audit-readiness practices. Soft Skills: + Strategic ... mindset with a hands-on approach. + Strong verbal and written communication skillsable to translate technical concepts into business terms. + Leadership qualities to guide and influence without direct authority. Compensation Range: The salary range for this… more
    Broadridge Financial Solutions (08/08/25)
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  • Senior Counsel-AML/Financial Crimes

    City National Bank (Los Angeles, CA)
    …to AML and Financial Crimes, including those promulgated by FinCEN, the OCC, FINRA , and the SEC. Significant expertise in assigned area of focus is essential ... as is the ability to work and communicate effectively with management and colleagues at multiple levels. WHAT WILL YOU DO? *Responsibilities:* * Provide legal advice to all three lines of defense (front line, Risk/Compliance, Audit), broker-dealer businesses,… more
    City National Bank (08/07/25)
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  • Financial Solutions Advisor- CA Coastal Market

    Bank of America (Oxnard, CA)
    …with certain specified criminal history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by a common purpose to help ... make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities, and shareholders every day. Being a Great Place to Work is core to how we drive Responsible… more
    Bank of America (08/02/25)
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  • Wealth Management, Senior Alternative Investment…

    JPMorgan Chase (Los Angeles, CA)
    …and interpersonal skills. + Strong oral and written communication skills + FINRA General Securities Representative Exam (ie Series 7) and Uniform Securities Agent ... State Law Examination (ie Series 63) required (may take these exams after commencement of employment) JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the… more
    JPMorgan Chase (08/02/25)
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  • Asset Management Group Undergraduate Intern

    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 (08/02/25)
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  • Merrill Market Supervision Manager

    Bank of America (Newport Beach, CA)
    …hiring of individuals with certain specified criminal history for the position: FDIC; FINRA . **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, genetic information, gender, gender identity, gender expression, age, national origin,… more
    Bank of America (08/02/25)
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  • Client Services Representative I

    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
    SMBC (08/01/25)
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