- City National Bank (Los Angeles, CA)
- …Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA , etc.). WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Minimum 5 ... * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66...JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state… more
- City National Bank (Los Angeles, CA)
- …a broad range of matters under the banking and securities laws, including the SEC, FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to provide ... and documentation and in dealings with the OCC, SEC, FINRA and other US regulatory authorities. * Conduct research...Company Act of 1940, the Securities Acts, CFTC, and FINRA regulations. * Draft, review, and negotiate a wide… more
- Zions Bancorporation (El Segundo, CA)
- …Banking and Securities Underwriting activities are offered through Zions Direct, Inc., member FINRA / SIPC. This role provides an exciting opportunity to join an ... knowledge of Microsoft Excel, PowerPoint, and Word + Required to obtain required FINRA licenses including Series 79 and Series 63, if not currently held/active.… more
- Wells Fargo (San Francisco, CA)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Charles Schwab (Torrance, CA)
- …is for you. **What you have** + **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series 66 ... (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Edward Jones (Irvine, 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 ... + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance licenses required + As an… more
- Guardian Life (Sacramento, CA)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state… more
- Citigroup (Loma Linda, CA)
- …and a goal-oriented team player able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. ... + Must meet ALL US FINRA Registration requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Directors (external wholesalers) to learn the financial wholesaling business, pursue your FINRA SIE, Series 7 and Series 66 licenses, and maximize territorial sales. ... for information, sales and marketing materials, and hypothetical illustrations. + Study for FINRA SIE, Series 7 and 66 exams (passing exams within a specified period… more
- Charles Schwab (Los Angeles, CA)
- …+ CFP(R) designation or CFA(R) designation + Bachelor's degree + Active and valid FINRA Series 7 license + _May be obtained with a 120-day condition of employment_ ... + Active and valid FINRA Series 66 license required + _May be obtained with a 120-day condition of employment_ + Five or more years of advisory experience, including… more