- Wells Fargo (San Diego, CA)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required * For ... the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of… more
- JPMorgan Chase (Long Beach, CA)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... or 66 if required), and Life licenses are required. All unlicensed applicants must obtain their licenses within 180 days of hire + Operate within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including… more
- BlackRock (San Francisco, CA)
- …trillion in assets under management, BTC offers active and indexing strategies, and securities lending and transition management services. As a member of the SF ... Legal & Compliance team (SF L&C), this position supports lawyers and other professionals on the BTC Legal Team. **Responsibilities include:** + Preparing and maintaining fund documentation, including disclosure documents + Drafting correspondence; conducting… more
- City National Bank (Los Angeles, CA)
- …Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, ... MSRB Rules and the Dodd Frank Act especially the Volcker Rule is desired but not required if candidate can demonstrate the ability to quickly synthesize regulations or has an eagerness to learn. * Possesses knowledge of capital markets products * Develops a… more
- Wells Fargo (Beverly Hills, CA)
- …check. Internal transfers are subject 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 subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. **Posting location:** + 9354 Wilshire… more
- Northrop Grumman (Commerce, CA)
- …preventative maintenance plans for all equipment + Responsible for all facilities, securities and maintenance actions assigned to the organizational unit + Conduct ... briefings and technical meetings for internal and external stakeholders + Utilize computerized maintenance management system to schedule, track and report on contractor involvement in infrastructure projects, service requests/work orders and trouble calls +… more
- MUFG (Los Angeles, CA)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- City National Bank (Los Angeles, CA)
- …support and technical documentation. * Principles of banking and finance and securities industry operations. * Business planning and analysis. * Project budget ... interfaces with other accounting systems. * Analysis: Identify and understand issues, problems and opportunities; compare data from different sources to draw conclusions. * Communication: Clearly convey information and ideas through a variety of media to… more
- CalSTRS (Sacramento, CA)
- …of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700) ... (http://www.fppc.ca.gov/Form700.html) . **Application Instructions** Completed applications and all required documents must be received or postmarked by the Final Filing Date in order to be considered. Dates printed on Mobile Bar Codes, such as the Quick… more
- CalSTRS (Sacramento, CA)
- …of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700) ... (http://www.fppc.ca.gov/Form700.html) . **Application Instructions** Completed applications and all required documents must be received or postmarked by the Final Filing Date in order to be considered. Dates printed on Mobile Bar Codes, such as the Quick… more