• Senior Registered Client Associate

    Wells Fargo (Irvine, 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 (05/30/25)
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  • Senior Wealth Advisor

    Citigroup (San Francisco, 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
    Citigroup (05/25/25)
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  • Senior Wealth Advisor - International Personal…

    Citigroup (San Francisco, 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
    Citigroup (05/21/25)
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  • Corporate Counsel, Associate Director

    BeOne Medicines (Emeryville, CA)
    **General Description:** BeiGene is seeking an experienced corporate securities and transactional lawyer to complement our global Legal and Compliance team who ... policy review and preparation of board/committee materials. + Draft and review securities filings including completing form checks against relevant rules and SEC… more
    BeOne Medicines (03/12/25)
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  • GCIB - Portfolio Management, Power & Utilities…

    MUFG (Los Angeles, CA)
    …portfolio utilizing internal and external sources + Oversight of covenants compliance database and facility closing due diligence, including documentation + Attend ... deal team environment (with Global Relationship Management, Syndications & MUFG Securities ) supporting Senior Portfolio Managers (PMs) in the development and… more
    MUFG (03/12/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Newport Beach, CA)
    …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 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
    JPMorgan Chase (05/23/25)
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  • Citi Wealth - Lending Advisor, West Coast Lead

    Citigroup (San Francisco, CA)
    …provide advice across a variety of asset classes ranging from complex marketable securities loans and less liquid financial assets, commercial real estate to more ... the wider Citi Wealth lending growth aspirations. Ensuring effective and consistent compliance to control standards **Qualifications:** + 15+ years of UHNW lending… more
    Citigroup (03/20/25)
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  • Senior Premier Banker - Sloat & Springfield

    Wells Fargo (San Francisco, CA)
    …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
    Wells Fargo (05/31/25)
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  • Construction Inspector I/II

    City of Carlsbad (Carlsbad, CA)
    …maintenance and construction projects to ensure quality control and compliance with approved plans, specifications, standards, or maintenance contract provisions. ... and public construction projects, inspecting materials and workmanship to ensure compliance with approved plans and specifications; inspect conditions prior to the… more
    City of Carlsbad (04/25/25)
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  • Relationship Banker Baldwin Hills

    Wells Fargo (Los Angeles, CA)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process + Knowledge and understanding of retail compliance controls, risk management, and loss prevention + Ability to follow policies,… more
    Wells Fargo (05/31/25)
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