- MUFG (Los Angeles, CA)
- …preparation for various internal and external examinations and audits and all compliance and operational aspects of the business. **Requirements:** + A Bachelor's ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Citigroup (Palo Alto, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more
- Bank of America (Bakersfield, CA)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more
- MUFG (Los Angeles, CA)
- …to identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic Risk Profile ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Los Angeles, CA)
- …matured/maturing loans/credit lines and coordinate appropriate renewal. + Ensure compliance with external regulatory/internal policy and procedural requirements. The ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Lincoln Financial (Los Angeles, CA)
- …sell and penetrate assigned firms/institutions. + Adhere to LFDs Culture of Compliance . Comply with LFDs policies and procedures **What we're looking for** ... the financial services industry that directly aligns with the specific responsibilities + FINRA Series SIE, 6, 63, L&H + Bachelor's degree or equivalent work… more
- Citigroup (Los Angeles, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more
- Citigroup (Los Angeles, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more
- Citigroup (San Francisco, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more