- Wells Fargo (Los Angeles, CA)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- Wells Fargo (Sacramento, CA)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... sponsorship + This position offers a hybrid work schedule + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Wells Fargo (Pasadena, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more
- Wells Fargo (Seal Beach, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required +… more
- Wells Fargo (Seal Beach, CA)
- …partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance , and Sales Teams to ensure firm and regulatory requirements are met + ... appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In… more
- Wells Fargo (San Diego, CA)
- …or 66 must be completed prior to conducting Investment Advisory business. Compliance with state law registration and licensing requirements is mandatory. In addition ... acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + This role… more
- Wells Fargo (San Jose, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This position will… more
- Bank of America (Los Angeles, CA)
- …on high net worth lending products, services, and regulatory matters including securities based loans, unsecured loans, and custom loans involving various collateral ... occasionally to leadership + Interprets rules, laws, and regulations from a compliance and business control standpoint; ensures that proposed transactions are in … more
- Citigroup (Downey, CA)
- …to clients based on client profiling and suitability assessments . Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures . Ensure strict adherence to KYC/AML...goal-oriented team player able to work without direction . Securities Industry Essentials - SIE, Active Series 7, 66… more