- Navy Federal Credit Union (San Diego, CA)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… more
- Wells Fargo (Los Angeles, CA)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Francisco, Los Angeles): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …of the Company's financial management (financial control and reporting, tax compliance , budgeting, etc.) for five affiliated corporate entities. Participates as a ... as the Company's FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly,… more
- City National Bank (Los Angeles, CA)
- …a broad range of matters under the banking and securities laws, including the SEC, FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to provide ... new product development, and documentation and in dealings with the OCC, SEC, FINRA and other US regulatory authorities. * Conduct research and legal analysis as… more
- US Bank (Irvine, CA)
- …you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with ... Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA , SEC, MSRB, OCC, and internal supervisory policies and procedures. In this… more
- City National Bank (Los Angeles, CA)
- …of the portfolio review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while ensuring that clients ... Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA , etc.). WHAT DO YOU NEED TO SUCCEED? *Required...* Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66… more
- Wells Fargo (San Francisco, CA)
- …December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Wells Fargo (San Francisco, CA)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Atria Wealth Solutions (Dublin, CA)
- …that promote synergy. + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. + Serve as a liaison ... training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training...by Patelco Credit Union and registered through CFS (Member FINRA /SIPC). To learn more about CUSO Financial Services, LP… more
- Wells Fargo (Los Angeles, CA)
- …Francisco, Los Angeles): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more