FINRA Jobs in Los Angeles
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Search Results - FINRA Jobs in Los Angeles
MufgamericasLos Angelesappcast.io
relationships, and work seamlessly as a bridge for introducing other senior bankers into these relationships* FINRA Series 7, 63 or 79 license, Series 24The typical base pay for this role is $275,000 depending on job-related knowledge, skills, experience...
AltruistLos Angeles
operating in a regulated environment — SOC 1 / SOC 2, FINRA or SEC examinations, and evidence automation
Hands-on experience with Kong, Envoy, or Gateway API at the edge
Postgres operations depth: upgrades, replication, change data capture, and performance...
Artemis ConsultantsLos Angeles
PREFERRED PROFILE:
• Bachelor’s Degree preferred.
• State Life & Health insurance licenses and FINRA SIE, Series 7 and 66 (or 63 and 65) required.
• Knowledge of core investment products including fixed and variable annuities and mutual funds...
Morgan StanleyLos Angeles
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
• Other licenses as required for role or by management
Knowledge/Skills
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
• Effective written and verbal communication skills...
Paulson Investment Company, LLCLos Angeles
license for this position to be considered ***
About You
• Two or more years of client-facing experience
• REQUIRED: FINRA Series 7/63 and 65 or 66
• Experience in Center of Influence marketing
• Excellent communications and persuasion skills
• Self...
Portage Point PartnersLos Angeles
in office four days per week and willing to work at client sites as needed
• 15 plus years of middle market investment banking experience
• Maintains Series 79, 63 and 24 FINRA license or ability to obtain within 120 days of employment
• Experience...
Los Angelesicims.com
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
Modern Woodmen of AmericaLos Angeles
professional who can positively impact the lives of many.
Qualifications
• Passion for bettering members’ financial lives.
• Ability to obtain or already hold: an active life insurance license, FINRA securities registration (Securities Industry Essentials...
RandstadLos Angelesrandstadusa.com
Track FINRA continuing education timelines and regulatory deadlines to ensure prompt compliance.
• Guide Onboarding Verifications: Coordinate pre-employment background checks and documentation for registered representatives and adviser representatives...
Halifax WestLos Angelesappcast.io
service to internal and external stakeholders.
Education
Bachelor’s degree in finance, Accounting, Economics, or related field (required)
Any other education including MBA, CPA, CFA, prior FINRA licenses (a plus
Experience
10+ years in investment...
Los Angelesicims.com
and agents, and securities brokers (FINRA).
Although we would prefer that you have some experience in professional liability law, we are also interested in working with developing talented attorneys who come to us with excellent skills in any litigation...
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