- Citigroup (San Francisco, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... be required. + US Only: S7, S66 (or 63 & 65) & S3; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree,… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. Skill in * Operating client relationship manager system and ... Experience** General Experience - 13 months to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more