Finra jobs in Los Angeles, CA

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Branch Relationship Banker, Bilingual (Spanish and English)
HSBC - 7,708 reviews - Irvine, CA
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
Financial Consultant - Santa Monica, CA
Fidelity Investments - 2,089 reviews - Santa Monica, CA 90403
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Santa Monica, CA....
Financial Advisor
Job description - Financial Advisor - Financial Services Representative - Agent Career Description: Financial Professionals help clients identify and achieve
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Senior Compliance Officer

Full Service Financial Firm - Los Angeles, CA 90067
Familiar with FINRA CRD Gateway. Compliance Officer | Broker-Dealer | Los Angeles*....
Easily apply

Compliance Consultant

Advanced Regulatory Compliance, Inc. - Beverly Hills, CA
Working knowledge of Investment Advisor's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred;...
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Investment Banking Associate

CTX Capital - Los Angeles, CA
No personal history of enforcement actions by the Securities Exchange Commission, FINRA, or any state securities regulatory bodies....
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Compliance Analyst

Oaktree Capital Management, L.P. - 10 reviews - Los Angeles, CA 90071
FINRA Series 7 and 24 preferred; Working knowledge of FINRA broker-dealer and AML/OFAC rules; Assisting with the coordination and filing of certain SEC, CFTC...

New Accounts Associate

Wedbush Securities - 29 reviews - Los Angeles, CA 90017
FINRA Series 7 license desirable. Wedbush Securities is one of the largest full-service investment banking and brokerage firms in the nation....

Implementation Coordinator

Prudential - 1,219 reviews - El Segundo, CA
This position is within the Full Service Solutions (FSS) area of Prudential Retirement. The Implementation Coordinator is responsible for assisting in the

Paralegal/Legal Assistant

Law Offices of Patrick J. Burns, Jr., P.C. & Advan... - Beverly Hills, CA
Previous experience working with the SEC or FINRA on compliance related tasks/issues. Working knowledge of the Investment Advisor's Act, 1940 Act (Investment...
Easily apply

Complex Risk Officer

Morgan Stanley - 1,907 reviews - Beverly Hills, CA  +1 location
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...

Brokerage Services Representative

Jackson National Life Insurance Company - 47 reviews - El Segundo, CA 90245
FINRA Series 7 license required. FINRA Series 63 or 66 license required. Brokerage Services Representative....

Corporate Compliance - Compliance Branch Examiner

JP Morgan Chase - 13,811 reviews - Chatsworth, CA 91311
FINRA Series 7, 66, and 24 licenses (or equivalents) preferred. JP Morgan Chase....
Paralegal/Legal Assistant
Law Offices of Patrick J. Burns, Jr., P.C. & Advanced Regulatory Compliance, Inc. - Beverly Hills, CA
Previous experience working with the SEC or FINRA on compliance related tasks/issues. Working knowledge of the Investment Advisor's Act, 1940 Act (Investment...
Easily apply
Paraplanner
TAX & FINANCIAL GROUP - Newport Beach, CA 92660
$50,000 - $60,000 a year
Job Responsibilities * Work together with financial advisors and financial planners to prepare and review financial planning documents. * Assist financial
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