- 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
- 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
- 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
- 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
- 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 (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 (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 (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 (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 (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
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