FINRA Jobs in San Francisco
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Search Results - FINRA Jobs in San Francisco
Better Tomorrow VenturesSan Franciscoappcast.io
and maintaining the regulatory framework that lets us grow confidently rather than reactively, serving as our Series 24 principal, and holding the primary relationship with FINRA, the SEC, and applicable state regulators. You will be a trusted partner...
San Franciscoprincipal.com
contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63).
• Resident Life and Health appointment must be attained.
Salary Range Information: Sales positions are eligible for sales incentives, and in some instances a bonus plan...
Figure LendingSan Franciscoappcast.io
and FINRA regulatory matters, including registration, ongoing compliance, examinations, and interactions with regulators
• Partner with senior leadership, including Figure's founder, on strategic securities law initiatives, including the application...
San Franciscoicims.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...
Testing Site - JPMCSan Franciscoappcast.io
and entrepreneur ecosystems; VC-focused product familiarity preferred; thought leadership presence a plus.
• Exceptional organizational skills with ability to prioritize under tight deadlines.
Licensing and Regulatory
• FINRA Series 79 and 63 required; unlicensed...
Allocator One GroupSan Franciscojoin.com
are comfortable doing hands-on work (data entry, tracking, reconciliation) while also building systems.
Nice to Have
• FINRA Series 7 or Series 65 (not required, but valued).
• Prior multi-fund platform experience.
• CPA or accounting background is a plus...
AtomicVest Inc.San Franciscoappcast.io
and daily books-and-records reconciliations
Serve as a designated supervisory principal for operations functions; write, maintain, and defend supervisory procedures in FINRA and SEC examinations
Support FOCUS reporting and net capital compliance...
San Franciscoicims.com
brokers 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...
Blee, Inc.San Franciscoappcast.io
and substantiation
• Working knowledge of relevant frameworks, such as FTC advertising and endorsement guidance, UDAP/UDAAP, and financial-services marketing rules (e.g., FINRA 2210, the SEC Marketing Rule, Reg Z/DD)
• Real experience using AI in your legal work...
MercorSan Franciscocareers-page.com
and compliance testing.
Preferred
• CAMS, CGSS, CFCS, CFE, CRCM, an ICA diploma, or FINRA registrations.
Compensation & Legal
• Hourly contractor
• Paid weekly via Stripe Connect
Application Process (Takes 20–30 mins to complete)
• Upload resume
• AI...
JPMorgan Chase & Co.San Franciscoappcast.io
and navigates ambiguity to get things done
• FINRA Series 79, 63 and Securities Exam Essentials licenses required or must obtain within 180 days of hire
Preferred Qualifications, Capabilities and Skills
• Bachelor’s degree and formal credit training preferred...
JPMorgan Chase & Co.San Franciscoappcast.io
and navigates ambiguity to get things done
• FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire
Preferred Qualifications, Capabilities and Skills
• Bachelor’s degree and formal credit training...
Better Tomorrow VenturesSan Franciscoappcast.io
AngelList is hiring its first in-house Chief Compliance Officer to build and scale a robust compliance program for private markets. You will own end-to-end compliance, serve as the Series 24 principal, and maintain primary relationships with FINRA...
J.P. Morgan Chase & Co.San Franciscoappcast.io
Capabilities and Skills
• Bachelor’s degree and formal credit training preferred
• Strong committed team player, looking to add to a national team of likeminded, passionate Innovation Economy bankers
• Willing to be FINRA licensed (SIE, Series 79, Series 63...
GenentechSan Franciscoappcast.io
business development teams on M&A integrations.
• Supporting Roche’s real estate legal practice group.
• Providing strategic advice and legal support for FINRA investigations.
• Advising on industry consortia activities and governance involving the Roche...
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