FINRA Jobs in Los Angeles
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Search Results - FINRA Jobs in Los Angeles
Charles Schwab-Los Angeles
license, enjoy working in a team setting, and share our passion for serving clients - this role is for you.
What you have
Required Qualifications:
• A valid and active FINRA Series 7 license required
• Obtaining or acquiring FINRA Series 66 (63/65...
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Charles Schwab-Los Angeles
you love, this may be the opportunity for you.
What you have
Required Qualifications
• Bachelor’s degree
• Active FINRA Series 7 license
• (May be obtained with a 120-day condition of employment for certified and current CFP® designation or CFA...
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Charles Schwab-Los Angeles
that successful candidates should have.
Highly Preferred Qualifications
• Wealth Management designation, e.g., Certified Wealth Strategist (CWS), CFA or CFP
• Bachelor’s degree
Required Qualifications: Must have:
• Active & valid FINRA Series 7 license- (may...
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Charles Schwab-Los Angeles
and valid FINRA Series 7 license
• May be obtained with a 120-day condition of employment
• Active and valid FINRA Series 66 license required
• May be obtained with a 120-day condition of employment
• Five or more years of advisory experience, including...
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Los Angeles
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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icims.com -
East West Bank-Los Angeles
of operational integrity required by EWB and adhere to the Business Principles and Values of EWB
• May perform other duties as assigned
• Bachelor's degree or equivalent experience
• FINRA Series 6, 63, Life and Health Insurance licenses required; must obtain...
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FutureSight-Los Angeles
FutureSight is hiring an experienced and visionary Founding CEO to lead the launch of a new AI Compliance venture serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually reviewing...
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workable.com -
PNC Financial Services Group-Los Angeles
of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
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Trilogy Financial-Los Angeles
finance, or related field. A drive for professional development and a passion for working with people. Comprehensive knowledge of topics related to financial planning including securities and retirement plans. FINRA Series 65 license preferred...
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tiptopjob.com -
Los Angeles
or equivalent experience
• FINRA Series 6, 63, Life and Health Insurance licenses required; must obtain series 7 within 6 months of joining
• 5+ years of proven and progressive financial services and/or retail sales experience, or equivalent, including evidence...
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icims.com -
Funtonetwork-Los Angeles
for regulated clients (HIPAA, FINRA, SOC 2)
• Conduct post-test "Lessons Learned" workshops to refine recovery procedures
4. Incident Leadership & Recovery Execution
• Serve as Primary Recovery Commander during declared disasters
• Lead war room operations...
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careers-page.com -
Los Angeles
goals, showcasing your ability to consistently achieve outstanding results.
• Solid knowledge of the wealth and investment management industry, including its unique needs, constraints, and opportunities.
• FINRA Series 7 and 63 (or 66) certifications...
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icims.com -
Los Angeles
constraints, and opportunities for wealth and investment management.
• FINRA Series 7 and 63 (or 66)
• Live in major metro center of territory
• Results-oriented drive to succeed with a strong service orientation, high energy, a sense of urgency, a strong work...
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icims.com -
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