- Wells Fargo (Greenfield, 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
- Thrivent Financial (Irvine, CA)
- …and variable lines of authority or attained within 90 days . + State securities registered and insurance licensed and appointed in all states that comprise the ... market or are aligned to specific financial advisors that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the region (may include overnight), up to 50%, and conduct business during evening hours . +… more
- Bank of America (Los Angeles, CA)
- …leading and negotiating with team of bank associates to solve client problems. + Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 & ... 63 license within 180 days of start date) **Desired:** + Undergraduate degree desired: Majors in business, finance or economic preferred. MBA desirable. + Existing knowledge of the market preferred. + Active member/participation in local community… more
- Bank of America (Beverly Hills, CA)
- …and educational background, along with other requirements governed by the US Securities and Exchange Commission ("SEC") + MBA preferred or maintain at least ... one firm approved designation + Strong leadership abilities, communication and delegation skills + Understanding of how to deliver a strong overall client experience + Thorough knowledge and understanding of the suite of Wealth Management products and services… more
- Bank of America (Los Angeles, CA)
- …and educational background, along with other requirements governed by the US Securities and Exchange Commission ("SEC") + Obtain and/or maintain at least one ... firm approved designation + Possess and demonstrate strong communication skills + Ability to lead through collaboration and influence without direct authority + Detail oriented with strong organizational skills, and ability to manage multiple tasks and… more
- Raymond James Financial, Inc. (Sacramento, CA)
- …Structured Investments industry. * Principles of banking, finance, and securities industry operations. * Financial markets, products, financial advisory function, ... and investment process. * Advanced investment concepts, practices, and procedures used in the industry. * MS Office Applications. **Skill in** * Cultivating and maintaining effective relationships at all levels of the organization. * Excellent verbal and… more
- JPMorgan Chase (Irvine, CA)
- …team environment to deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or ... 63 and 65) are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a… more
- NetApp (San Jose, CA)
- …Data Privacy and Governance; Global Trade Compliance; Litigation; Corporate and Securities . **Job Requirements** * Understanding the various teams within The Legal ... Department, their roles, and how they support the enterprise. * Shadowing in-house counsel and legal professionals while gaining exposure to and participating in various legal projects and workstreams across the team, which may include, but is not limited to:… more
- Robert Half Legal (San Diego, CA)
- …of research & writing is expected. Ancillary duties related to M& A, securities , and corporate governance may be assigned occasionally. However, someone who likes to ... put their head down and crank out contracts will be best for this position. Team: + This in-house counsel will report directly to the General Counsel, and have hands-on interaction/feedback. + Four other attorneys and ten other support staff work in the legal… more
- PCL Construction (San Diego, CA)
- …understanding of lien rights. + Basic exposure to bid and contract securities and insurance as they relate to risk management, claims management, pricing, ... and accounting. + Basic understanding of subcontract PO terms including insurance and subcontractor default insurance (SDI) and bonding requirements. + Exposure to owner contracts as they relate to payment terms, billing requirements, audit rights, and… more