• Senior Compliance Analyst - Park Avenue…

    Guardian Life (Sacramento, CA)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
    Guardian Life (06/14/25)
    - Related Jobs

  • Associate General Counsel - Broker-Dealer…

    Robert Half Legal (San Diego, CA)
    Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This position will… more
    Robert Half Legal (07/09/25)
    - Related Jobs

  • Branch Support Manager

    Wells Fargo (Los Angeles, CA)
    …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution...+ US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66… more
    Wells Fargo (08/02/25)
    - Related Jobs

  • Supervisory Control Manager

    Wells Fargo (Seal Beach, CA)
    …partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance , and Sales Teams to ensure firm and regulatory requirements are met + ... + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63...license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (07/26/25)
    - Related Jobs

  • Market Support Manager

    Wells Fargo (San Diego, CA)
    …of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations ... (or FINRA recognized equivalents) sufficient to qualify for immediate ...must be completed prior to conducting Investment Advisory business. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (07/23/25)
    - Related Jobs

  • Relationship Banker

    Wells Fargo (Hesperia, CA)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners Desired Qualifications: * Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
    Wells Fargo (08/02/25)
    - Related Jobs

  • Relationship Banker Imperial & Long Beach

    Wells Fargo (Lynwood, CA)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
    Wells Fargo (08/02/25)
    - Related Jobs

  • Financial Consultant

    Wells Fargo (Seal Beach, CA)
    …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate ...license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (07/30/25)
    - Related Jobs

  • Senior Branch Premier Banker LP - Waterford Plaza…

    Wells Fargo (San Jose, CA)
    …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
    Wells Fargo (08/02/25)
    - Related Jobs

  • Senior Registered Client Associate

    Wells Fargo (Pasadena, CA)
    …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment **Job expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. … more
    Wells Fargo (08/01/25)
    - Related Jobs