- Edward Jones (Grass Valley, 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 ... degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or sales experience +… more
- Atria Wealth Solutions (Dublin, CA)
- …experience, including sales coaching experience. + Series 7, 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. + Series 24 or Series ... 9/10 Securities Registrations equivalent required. + Previous Financial Advisor experience...and services, as well as, life insurance, annuity and securities products. + Strong practical understanding of general economic… more
- PennyMac (Westlake Village, CA)
- …responsible for financial reporting projects, including filings with the Securities and Exchange Commission, audited financial statements, regulatory agencies, debt ... preparation of periodic financial reports for filings with the Securities and Exchange Commission, including 10Qs, 10Ks and other...statements and MD&A support for periodic reporting to the Securities and Exchange Commission Why You Should Join As… more
- City National Bank (Los Angeles, CA)
- …is expected to advise on a broad range of matters under the banking and securities laws, including the SEC, FINRA, OCC, FRB, and FDIC, help resolve issues as they ... in advising the Bank's wealth management businesses on banking and securities regulatory matters, legislation, new product development, and documentation and in… more
- Robert Half Legal (Los Angeles, CA)
- …practice, is actively seeking a Senior Attorney with strong experience in Securities Litigation and General Liability Defense to join their growing Los Angeles ... excellent benefits. Key Responsibilities: + Manage a caseload of complex securities litigation and general liability defense matters from inception through… more
- Snap Inc. (Los Angeles, CA)
- …legal issues globally. What you'll do: + Assist with corporate and securities law matters, including preparing SEC filings such as registration statements, Forms ... + Collaborate with the Corporate Legal team on matters including securities , corporate governance, acquisitions, and investments. + Manage corporate governance and… more
- Bank of America (Los Angeles, CA)
- …Solutions Advisor Stage I (ADP FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated study time for your Securities ... Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor - from acquiring, building and managing client relationships to considering a client's complex financial… more
- Bank of America (Milpitas, CA)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor… more
- SMBC (Los Angeles, CA)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- JPMorgan Chase (Los Angeles, CA)
- …were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more