- Wells Fargo (Los Angeles, 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. **Pay Range** Reflected is the base… more
- Wells Fargo (San Francisco, 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. **Job Location:** + 333 Market St.… more
- Wells Fargo (Los Angeles, 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. **Pay Range** Reflected is the base… more
- Cardinal Health (Sacramento, CA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Legal Management provides strategic oversight, leadership and direction within the Legal function. **_Job Summary_** Cardinal Health is seeking… more
- CIBC (San Francisco, CA)
- …+ Coordinate asset transfers and manage cost basis updates on securities . + Review fee collections and resolve collection issues. **Administrative & ... Reporting Tasks** + Prepare new account packets and open new accounts & sub-accounts. + Complete first review of administrative reviews. + Prepare customized client reports (eg, cash flow analysis and cash projection reports). **Subject Matter Expertise &… 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
- SitusAMC (San Francisco, CA)
- …team in Atlanta to originate loans for its conduit/large-loan commercial mortgage-backed securities (CMBS) business, as well as for the bank's balance sheet. The ... loans range across office, retail, hotel, multifamily and industrial property types. Specific responsibilities include: + Participating in all aspects of loan origination + Coordinating transactions within tight timeframes, involving several groups within… more
- Meta (Menlo Park, CA)
- …and financial reporting requirements specific to public companies, such as Securities and Exchange Commission (SEC) regulations 18. 6. Communicating efficiently ... across teams and with multiple stakeholders and influencing team, peers and XFN stakeholders at the next level 19. 7. Communicating issues and providing recommendations for process improvements to management 20. 8. Comprehensive understanding of the… 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
- Edward Jones (Ontario, CA)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more