929 Deputy Regional Director jobs in Los Angeles,CA

5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding.
Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.
Travel up to 10% with flexibility across time zones.
Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.

Majordomo

Los Angeles, CA 90012

Monet Construction

Tujunga, CA 91042

Riviera Golf & Tennis

Pacific Palisades, CA 90272

Mission Pet Health

Los Angeles, CA 90079

L.A. Care Health Plan

Los Angeles, CA 90079

System Transport

Anaheim, CA 92805

Must have a valid Class A CDL
Must be 21 years of age or older
4+ months of driving experience required
A safe driving record on the road.
No more than 6 jobs in the last 3 years
A Background Check is required
A Clean Drug Test is required
A Clean Clearinghouse result required
The driver must be physically able to lift a 90-pound tarp onto a 5-foot high platform twice