• 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 (08/29/25)
    - 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
  • Retirement Counselor II ( Finra License…

    ADP (CA)
    …In this role you will be focused on increasing revenue, and ensuring compliance by conducting targeted training to clients and their associates. Deliver prepared, ... + Responsible for soliciting rollover assets from meeting participants. + Maintain FINRA licensing requirements and continuing education. Need to maintain a high… more
    ADP (08/02/25)
    - Related Jobs
  • Lead Client Services Officer

    City National Bank (Los Angeles, CA)
    …objectives, risk tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * ... and approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and administrative aspects… more
    City National Bank (08/07/25)
    - Related Jobs
  • Branch Complex Senior Manager

    Wells Fargo (Los Angeles, CA)
    …partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on ... or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA more
    Wells Fargo (08/21/25)
    - Related Jobs
  • Relationship Banker

    Wells Fargo (Van Nuys, 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 (08/30/25)
    - Related Jobs
  • Relationship Banker Inland Orange County District

    Wells Fargo (Seal Beach, 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 (08/29/25)
    - Related Jobs
  • Relationship Banker

    Wells Fargo (Foothill Ranch, 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 (08/27/25)
    - Related Jobs
  • Senior Branch Premier Banker Hawthorne Main

    Wells Fargo (Hawthorne, 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 (08/30/25)
    - Related Jobs
  • Senior Registered Client Associate

    Wells Fargo (Palo Alto, 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 (08/30/25)
    - Related Jobs