- 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. + Designated ... 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
- Fifth Third Bank, NA (Los Angeles, CA)
- …activity including origination, structuring, and execution of large, complex loan and securities transactions. Perform all underwriting and work with Credit on all ... with senior executives inside and outside our organization + Securities Industry Essentials (SIE), Series 7/79/63 license required. Executive Director/Director,… more
- CalSTRS (Sacramento, CA)
- …and written communication skills, project management, and knowledge of investment securities . The incumbent is responsible for performing the complex duties ... 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
- Insight Global (Huntington Beach, CA)
- …billable hours per month and offers exposure to diverse practice areas including securities , real property, and corporate litigation. We are a company committed to ... side - Litigation experience with in the following practice areas: ○ Securities Litigation ○ Mediation and Alternative Dispute Resolution ○ Real Property Litigation… more
- Edward Jones (Long Beach, 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 ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… more
- Wells Fargo (Westlake Village, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific ... 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
- Raymond James Financial, Inc. (Walnut Creek, CA)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… 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
- US Bank (Rancho Palos Verdes, 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 ... state insurance licenses. Preferred Skills/Experience - Basic knowledge of the securities industry and markets - Well-developed analytical and decision-making skills… more
- Wells Fargo (Los Angeles, CA)
- …transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of ... 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