- Altium (San Diego County, CA)
- …preferred + International Compliance Association (ICA) certification required; Certified Securities Compliance Professional (CSCP) is a strong plus + Familiar ... with process improvement methods + Able to both embrace complexity and attend to details + Skilled in critical thinking, problem-solving, project management, and strategic planning + Excellent in verbal communication and creating documentation _The salary… more
- Mizuho Corporate Bank (San Francisco, CA)
- …markets experience with a top tier global bank + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis + Must have experience in ... the general TMT sector + Aptitude to synthesize large amounts of information and develop innovative ideas and/or product solutions + Ability to manage multiple projects simultaneously + Ability to work under pressure and adhere to tight deadlines + Strong… more
- Raymond James Financial, Inc. (Palm Desert, CA)
- …9 & 10 within six (6) months of hire. + Ability to obtain additional securities and advisory state registrations if required by state. **Travel Required** 20 % of ... + Works directly with home office personnel to coordinate branch-home office workflow. + Completes self-audit of branch procedures. + Assists Branch Manager with confidential matters and compliance visits and replies. + Assists Branch Manager with controlling… more
- Edward Jones (Berkeley, 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
- 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 (San Diego, 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
- 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
- Stanford University (Stanford, CA)
- …Structuring investments, including in private investment funds, derivatives, and individual securities . + Developing and implementing tax strategies to help optimize ... investment returns. + Conducting tax research and analysis as needed to support investment decisions. + Supporting senior leadership in preparing for discussions of tax-related matters with external stakeholders. + Collaborating with the University's finance… more
- SitusAMC (Los Angeles, CA)
- …team in Los Angeles 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
- Coinbase (Sacramento, CA)
- …models to evaluate new initiatives (eg, new custody features, tokenized securities , or derivatives products) and guide resource allocation. * Lead forecasting, ... budgeting, and variance analysis, turning insights into actions that directly influence executive decision-making. * Directly influence product strategy and insights that drive long-term growth * Partner cross-functionally with Product, Data Science, Business… more