- Ankura (San Francisco, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- JPMorgan Chase (San Francisco, CA)
- …and strong transaction execution skills + FINRA Series 24, 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire ... **Preferred Qualifications, Capabilities and Skills:** + Bachelor's degree and formal credit training + Sales management, business development skills, proficiency in building and maintaining positive client relationships + Experience with Financial Sponsors,… more
- Ankura (Los Angeles, CA)
- …commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Robert Half Legal (San Diego, CA)
- …touch of a smaller practice. The firm handles complex business, employment, securities , and intellectual property disputes for a diverse client base, emphasizing ... practical results, direct partner involvement, and exceptional service. Known for its collegial culture, open-door communication, and collaborative environment, the firm offers a balanced, professional setting where every team member's contribution is valued.… more
- HUB International (Encino, CA)
- …of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in ... conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; + Recommend workable action plans for identifying and correcting material… more
- M&T Bank (Los Angeles, CA)
- …record of implementing wealth management strategies **Education and Experience Preferred:** Securities licensing, CFP, CTFA, CPA designation MBA (Master's degree in ... Business Administration) or JD (Juris Doctor) M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $151,722.54 - $252,870.91 (USD). The successful candidate's particular combination of… more
- BMO Financial Group (San Francisco, CA)
- …leveraged finance transactions. + Familiarity or prior experience with the federal securities laws. + Knowledge of business and regulatory environment in which BMO ... Financial Group operates. + Advanced knowledge of commercial lending. + Advanced knowledge of subject matter legal requirements and the operations of a single client group. + Negotiation skills - in depth. + Verbal & written communication skills - In-depth /… more
- Charles Schwab (Los Angeles, CA)
- …& Co. Inc. compliance manual, business unit specific policies/procedures, federal/state securities laws/regulations and applicable rules of FINRA, NASD, MSRB, CBOE, ... NFA and exchanges of which Charles Schwab & Co Inc. is a member. + Ensure all individuals under supervision, including supervisors, are appropriately qualified through relevant experience, licensing, and training to perform their responsibilities effectively… more
- Navy Federal Credit Union (San Diego, CA)
- …sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify prospective participation partners/opportunities ... through prospect calling, networking, and leveraging existing participation business. + Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business… more
- BMO Financial Group (San Francisco, CA)
- …matters. + Familiarity with digital assets, blockchains, cryptocurrencies, and traditional securities , payments, and/or commodities law. + Negotiation skills - in ... depth. + Verbal & written communication skills - In-depth / Expert. + Analytical and problem solving skills - In-depth / Expert. + Influence skills - In-depth / Expert. + Collaboration & team skills; with a focus on cross-group collaboration - In-depth /… more