- JPMorgan Chase (Woodland Hills, CA)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- Google (Los Angeles, CA)
- …regulatory settlements or consent order (eg, Federal Trade Commission (FTC), Securities and Exchange Commission (SEC), Consumer Financial Protection Bureau (CFPB)). ... + Experience with privacy regulations (eg, GDPS, CCPA, AI Act, LGPD, ePrivacy, AADC, HIPAA or, JD, CIPP/US), or other privacy or compliance certification. + Experience in conducting control audits, process assessments, or technical risk reviews with technical… more
- SMBC (Encino, CA)
- …with counterparts in related areas, such as real estate, insurance and securities . Help clients understand the digital platforms the bank has available, and ... encourage their uptake and use. **Role Objectives: Expertise** Display a comprehensive knowledge of the bank's products and services, such as such as term loans, revolving lines of credit, syndicated facilities, treasury and cash management services, and trade… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …financial centers. Its investments span public and private debt and equity securities , direct investments in private companies, and real estate. The role involves ... managing a substantial portion of the hedge fund accounting operations and presents a clear opportunity for leadership and long-term career growth. The organization is in a period of innovation and welcomes candidates who bring fresh ideas and a continuous… more
- Wells Fargo (West Hollywood, CA)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- US Bank (San Francisco, CA)
- …working knowledge of California public agencies, knowledge of liquidity and fixed-income securities or comparable bank offerings, and experience working in or with ... public sector and other institutional investors. Individuals interested in this role should possess strong interpersonal skills, be self-motivated, highly organized and have demonstrated success working in a dynamic and fast-paced environment. **REQUIREMENTS**… more
- CalSTRS (Sacramento, CA)
- …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) ... (http://www.fppc.ca.gov/Form700.html) . **Application Instructions** Completed applications and all required documents must be received or postmarked by the Final Filing Date in order to be considered. Dates printed on Mobile Bar Codes, such as the Quick… more
- M&T Bank (Costa Mesa, CA)
- …record of implementing wealth management strategies **Education and Experience Preferred:** Securities licensing, CFP, CTFA, CPA designation MBA (Master's degree in ... Business Administration) or JD (Juris Doctor) M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $151,722.54 - $252,870.91 (USD). The successful candidate's particular combination of… more
- Edward Jones (San Ramon, 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
- Snap Inc. (Los Angeles, CA)
- …as Forms 3, 4, 5, and 10-K, and advise on other related securities law matters. + Assist cross-functional efforts to support environmental, social and governance ... matters, including assisting with any corporate responsibility reports. + Develop strong relationships across the company by collaborating with cross-functional teams, including executive team, finance, tax, sales, marketing, stock administration,… more