- Wells Fargo (Beverly Hills, CA)
- …skills + Credit risk experience + Knowledge of traditional banking products + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents) ... + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. … more
- Wells Fargo (Los Angeles, CA)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... financial markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire… more
- Wells Fargo (San Francisco, CA)
- …sponsorship + This position offers a hybrid work schedule + Specific compliance policies may apply regarding outside activities or personal investing; affected ... the time + Obtaining and/or maintainingappropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. … more
- PNC (Los Angeles, CA)
- …valued and have an opportunity to contribute to the company's success. As a Compliance Program Specialist within PNC's Real Estate organization, you will be based in ... Cleveland, Dallas, Birmingham or Louisville. **Job Description** + Implements compliance programs to prevent illegal, unethical, or improper business practices.… more
- Zoom (Sacramento, CA)
- What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the ... not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance … more
- TD Bank (San Francisco, CA)
- …Francisco, California, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing ... this role. **Job Description:** We are seeking a VP Compliance professional to join our TD Securities US Control...Investment Banking transactions. + A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards. +… more
- US Bank (San Francisco, CA)
- …residing within the Bank's Second Line of Defense Risk Management and Compliance organization. Specifically, this position supports the Model Risk Management ("MRM") ... and Developers to validate models related to the Bank's Compliance and Financial Crimes groups, which can include Anti-Money...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Wells Fargo (San Francisco, CA)
- …understanding of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and ... the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration… more
- Wells Fargo (San Francisco, CA)
- …skills + Life Sciences Background, experience or education **Job Expectations:** + FINRA Series 63, 79, and the Securities Industry Essentials (SIE) must be ... within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Ability to travel up to 10% of the time… more
- Wells Fargo (Los Angeles, CA)
- …financial markets, banking, or financial services industry. **JOB EXPECTATIONS:** + Registration for FINRA Series 7 must be completed within 90 days of hire date if ... it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be… more