- BeOne Medicines (San Mateo, CA)
- General Description: BeOne is seeking an experienced corporate securities and transactional lawyer to complement our global Legal and Compliance team who thrives in ... policy review and preparation of board/committee materials. + Draft and review securities filings, including completing form checks against relevant rules, and SEC… more
- Columbia Bank (Irvine, CA)
- …daily business processing to include department mail & processing checks and securities . + Maintain client and mailing database. Update Financial Advisor's calendar. ... duties as assigned. **About You:** + Bachelor's degree or equivalent experience + Minimum securities licensing of Series 7 & 63 + A minimum of 2 years' experience… more
- Edward Jones (Irvine, 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 ... required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if… more
- NVIDIA (Santa Clara, CA)
- …handling regulatory matters such as antitrust, foreign direct investment, and securities laws. This position also demands experience collaborating with senior ... on strategic investments in private and public companies, including SAFEs, debt/equity securities , and registered investments in public companies + Review and draft… more
- CalSTRS (Sacramento, CA)
- …asset types that will invest in a diversified portfolio of strategies and securities utilizing a mixture of both internal and external management. The unit will ... 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)… more
- Robert Half Legal (San Diego, CA)
- …regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President ... accredited law school + Extensive knowledge of SEC, FINRA, and state securities regulations + Demonstrated experience handling or responding to FINRA arbitrations or… more
- US Bank (Pleasanton, CA)
- …exposure, and the like. Develops an expertise and knowledge of the securities industry and markets to analyze and interpret customer/prospect's investment objectives ... 6 months of employmet Preferred Skills/Experience - Basic knowledge of the securities industry and markets - Well-developed analytical and decision-making skills to… more
- Bank of America (Redding, CA)
- …of the Advisor Development Program,** your journey begins by 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… more
- Wells Fargo (Los Angeles, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + This role ... 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… more
- Bank of America (San Jose, CA)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more