- JPMorgan Chase (San Jose, CA)
- …or Compliance professional preferred. + Advanced knowledge of FINRA, MSRB, and SEC rules and regulations. + Experience working alongside Advisors preferred. FEDERAL ... DEPOSIT INSURANCE ACT: This position is subject to Section 19 of the Federal Deposit Insurance Act. As such, an employment offer for this position is contingent on JPMorganChase's review of criminal conviction history, including pretrial diversions or program… more
- Rubrik (Palo Alto, CA)
- …in tax planning, accounting & compliance + Extensive ASC 740 knowledge, and SEC reporting for income tax + Experience with international tax issues + Understanding ... of indirect tax concepts & filings + People management experience required + Must be a team player and able to work in a fast-paced, rapidly changing environment and comply with tight deadlines + Superior organization and verbal/communication skills \#LI-KY1… more
- UIC Government Services and the Bowhead Family of Companies (Corona, CA)
- …In furtherance, pursuant to The Alaska Native Claims Settlement Act 43 USC Sec . 1601 et seq., and federal contractual requirements, UIC and its subsidiaries may ... legally grant certain preference in employment opportunities to UIC Shareholders and their Descendants, based on the provisions contained within The Alaska Native Claims Settlement Act. Equal Opportunity Employer/Protected Veterans/Individuals with… more
- Coinbase (Sacramento, CA)
- …assets held within the prime brokerage, ensuring compliance with all emerging FASB and SEC guidance. * *Mentor and develop senior accountants* on the team, acting as ... the primary technical resource for complex problem-solving and career development. * Drive continuous process improvement, identifying and executing on opportunities to increase efficiency, automate manual workflows, and enhance internal controls. *What we… more
- General Atomics (San Diego, CA)
- …may be substituted in lieu of education + Holding relevant security certification; Sec + required + Familiarity with security differences between DoD, DoE, NASA, and ... commercial operations a positive. + Network capability and configuration familiarity a positive. + Ability to work with digital engineering/model based systems engineering (MBSE) representations, tools, and frameworks a positive. + Demonstrated project and/or… more
- General Atomics (Adelanto, CA)
- …Airframe and Powerplant License is desired. + Ability to obtain and maintain DOD SEC clearance is required. + Must possess: + General knowledge and understanding of ... the detailed aspects of the job + Knowledge of relevant computer applications and operations + Basic leadership, organization and planning skills + Good analytical, interpersonal, verbal and written communication skills to accurately document, report and… more
- UIC Government Services and the Bowhead Family of Companies (Corona, CA)
- …In furtherance, pursuant to The Alaska Native Claims Settlement Act 43 USC Sec . 1601 et seq., and federal contractual requirements, UIC and its subsidiaries may ... legally grant certain preference in employment opportunities to UIC Shareholders and their Descendants, based on the provisions contained within The Alaska Native Claims Settlement Act. Equal Opportunity Employer/Protected Veterans/Individuals with… more
- UIC Government Services and the Bowhead Family of Companies (Corona, CA)
- …In furtherance, pursuant to The Alaska Native Claims Settlement Act 43 USC Sec . 1601 et seq., and federal contractual requirements, UIC and its subsidiaries may ... legally grant certain preference in employment opportunities to UIC Shareholders and their Descendants, based on the provisions contained within The Alaska Native Claims Settlement Act. Equal Opportunity Employer/Protected Veterans/Individuals with… more
- Guardian Life (Sacramento, CA)
- …**You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses… more
- US Bank (Walnut Creek, CA)
- …policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ensuring regulatory standards ... are met - Has a deep understanding of the Financial Advisor's business model, needs and key drivers as well as the sales process - Considerable knowledge of internal administrative, compliance and operational procedures - Strong communication, organization,… more