- Robert Half Legal (San Francisco, CA)
- Description We are seeking a Litigation Associate with a focus on Securities /Antitrust for our team situated in San Francisco, California. The successful ... handling multiple cases and utilizing their strong writing skills in the securities or antitrust litigation field. Responsibilities: * Utilizing strong brief writing… more
- Thrivent Financial (Lakewood, CA)
- …can be fully licensed, securities licensed, or insurance licensed. Depending on role, the associate must be: + Securities registered (series 7 & 66 or 6 & ... Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well...of "community" with and among clients and prospects. The Associate reports to and is employed/contracted by the Financial… more
- City National Bank (Los Angeles, CA)
- *CLIENT SERVICE ASSOCIATE SENIOR CNS* WHAT IS THE OPPORTUNITY? Serve as a registered representative for City National Securities (CNS). Process stock, option, ... fixed income, and mutual fund transactions for clients of City National Securities . Assist CNS brokerage clients and Retirement Services Clients with transactions… more
- Edward Jones (Irvine, CA)
- …of applicants. **If you're looking for a challenging and rewarding career** , the Associate Financial Advisor role at Edward Jones may be the right opportunity for ... you. With the same licensing as our Financial Advisors, Associate Financial Advisors work with an established Financial Advisor to serve clients, grow the branch,… more
- Wells Fargo (Pasadena, CA)
- **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... review when applicable + Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and… more
- JPMorgan Chase (San Diego, CA)
- …investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be tasked with delivering ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- Wells Fargo (San Jose, CA)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Robert Half Legal (San Diego, CA)
- …Firm & Position: A well-established financial services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing ... regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President… more
- Raymond James Financial, Inc. (San Diego, CA)
- …Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to ... and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading… more
- Mizuho Corporate Bank (San Francisco, CA)
- …management and strategic transaction development to execute banking and securities mandates and originate idea generation for potential acquisitions, divestitures ... and services for existing and prospective Mizuho clients. An Associate is expected to understand the implications, identify key...is a huge plus + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis +… more
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