- 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
- MUFG (Los Angeles, CA)
- …with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7, 63 or 79 license **Compensation & Benefits:** The typical base pay ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Charles Schwab (Mission Viejo, 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
- Bank of America (Newport Beach, CA)
- …with certain specified criminal history for the position:FDIC, Safe Act/Loan Originators and FINRA . At Bank of America, we are guided by a common purpose to ... to new technology or applications. **Desired Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a minimum… more
- JPMorgan Chase (San Diego, CA)
- …deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or 63 and 65) are ... minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a college degree or… more
- US Bank (Irvine, CA)
- …has multiple levels, open to candidates with 3+ years of experience with active FINRA Series 6-63 or Series 7-63 licenses. The successful candidate will be hired for ... 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… more
- US Bank (San Diego, CA)
- …in a financial sales position, preferably working with the affluent client segment - FINRA Series 7, 63, 65 or 66 license, and applicable state insurance license ... 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… more
- Charles Schwab (Los Angeles, CA)
- …you have** **Required Skills & Experience:** + Bachelor's Degree required. + Active and valid FINRA Series 7 license required. + Active and valid FINRA Series 66 ... & 9/10 required (may consider 120-day condition of employment). + CFP(R) designation or CFA(R) designation (may consider 24-month condition of employment). + Minimum of 10 years in the securities or financial services industry with experience leading people… more
- Coinbase (Sacramento, CA)
- …and resolving customers' trading related issues. *What we look for in you:* * FINRA License series 7 & 63 (will not initially be sponsoring licenses) * Motivated ... to create a community of high value Coinbase power users. *Nice to haves:* * FINRA License Series 3, 4, 65, or 66. * Knowledge of Cryptocurrency and Coinbase… more
- Wells Fargo (Los Angeles, CA)
- …Francisco, Los Angeles): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply 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