- Wells Fargo (Beverly Hills, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. **Location:** + ... Beverly Hills, CA **Pay Range** Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the… more
- Charles Schwab (Encino, CA)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiringFINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during… 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
- 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
- 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
- Cardinal Health (Sacramento, CA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Commercial Transaction provides legal advice, counsel and services to domestic and international businesses in support of customer, vendor,… more
- Wells Fargo (San Diego, 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) will also be required to be completed within a specified period: 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, and WY. The State of… more
- JPMorgan Chase (Long Beach, CA)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... or 66 if required), and Life licenses are required. All unlicensed applicants must obtain their licenses within 180 days of hire + Operate within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including… more
- BlackRock (San Francisco, CA)
- …trillion in assets under management, BTC offers active and indexing strategies, and securities lending and transition management services. As a member of the SF ... Legal & Compliance team (SF L&C), this position supports lawyers and other professionals on the BTC Legal Team. **Responsibilities include:** + Preparing and maintaining fund documentation, including disclosure documents + Drafting correspondence; conducting… more
- City National Bank (Los Angeles, CA)
- …Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, ... MSRB Rules and the Dodd Frank Act especially the Volcker Rule is desired but not required if candidate can demonstrate the ability to quickly synthesize regulations or has an eagerness to learn. * Possesses knowledge of capital markets products * Develops a… more