- TEKsystems (San Diego, CA)
- …to join the firm and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other ... limited to: Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors First line supervisory responsibility to conduct… more
- Edward Jones (Belmont, 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
- PCL Construction (Irvine, CA)
- …effectively. * Evaluate and ensure insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements. **Financial ... forecasting, analysis, and reporting * Advanced knowledge of bid and contract securities and insurance and they relate to risk management, claims management,… 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. + Obtaining ... 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
- Wells Fargo (Roseville, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining ... 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
- Wells Fargo (San Francisco, CA)
- …public and private equity, M&A, loan and high yield and convertible securities transactions. Employees support our focus on building strong customer relationships ... written, and interpersonal communication skills **Job Expectations** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days… more
- Citigroup (Glendale, CA)
- …skills; Ability to work in both a team and individual creative setting + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities Industry Exam (SIE is a ... prerequisite to the S7) **Education:** + Bachelor's/University degree, Master's degree preferred **Job Family Group:** Private Client Coverage **Job Family:** Financial Planning Services **Time Type:** Full time **Primary Location:** Glendale California United… 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
- Robert Half Legal (Oakland, CA)
- …and the ability to apply this knowledge in relevant cases. * Proficient in Securities Litigation, with a thorough understanding of securities laws and their ... application in litigation. * Proficient in e-Filing, with the ability to submit documents and court filings online efficiently and accurately. * Experience in Bluebooking, ensuring all legal documents and citations adhere to the Bluebook's uniform system of… more
- Robert Half Legal (Pleasanton, CA)
- …this role, you will play a key part in supporting corporate governance, securities law compliance, and entity management for a publicly-listed company. This position ... Requirements Qualifications: * At least 5 years of experience working in the corporate securities practice area at a publicly-listed company or a law firm. * Strong… more