- PCL Construction (Irvine, CA)
- …effectively. * Evaluate and ensure insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements. **Financial ... Risk with managing all financial and business-related issues. * Drives with Senior Leadership the analysis of the District's financial results with respect to… more
- Wells Fargo (Los Angeles, CA)
- …Investment Banking + Assisting the trading desk in managing risk + Supporting senior sales representatives in building relationships with our clients + Pricing and ... or other long-term incentive awards. **REQUIRED QUALIFICATIONS:** + 6+ months of Securities Sales Trading experience, or equivalent demonstrated through one or a… more
- US Bank (Rancho Palos Verdes, CA)
- …Advisor at the Associate level. Under the guidance and in partnership with a senior advisor, this advisor will learn and develop skills to consult with existing and ... exposure, and the like. Develops an expertise and knowledge of the securities industry and markets to analyze and interpret customer/prospect's investment objectives… 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 ... regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President… more
- City National Bank (Los Angeles, CA)
- …AUDIT MANAGER- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth Management, ... and effectively communicate audit results to the Audit Director, senior management and applicable Board/Committees in the form of...the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions… more
- Wells Fargo (Los Angeles, CA)
- …client engagements. The program includes immersive training, project-based learning, senior leader engagement, and networking opportunities across business lines. ... engage in live projects, build relationships with clients and senior bankers, and contribute to the work that helps...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… 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 ... and efficiencies + Work under the general supervision of senior attorneys and exercise sound judgment as to matters...matters that require attention of Legal and Compliance Departments' senior leadership + Promote and ensure compliance with the… 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 ... and efficiencies + Work under the general supervision of senior attorneys and exercise sound judgment as to matters...matters that require attention of Legal and Compliance Departments' senior leadership + Promote and ensure compliance with the… more
- JPMorgan Chase (San Francisco, CA)
- …Bank, Private Bank, Credit and Investment Banking product sets. + Work closely with senior leaders within the IE team and across the firm, including but not limited ... and strong client relationships, as well as partnerships with senior business and control partners We should discuss this...Strong knowledge of regulatory and control framework + FINRA securities licenses 79 and 63 are required for the… more
- Wells Fargo (Los Angeles, CA)
- …day one, you will engage in live projects, build relationships with clients and senior bankers, and contribute to the work that helps our clients achieve their ... sessions, client meetings, and internal discussions + Collaborating with senior bankers on engagements across sectors and geographies +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more