498 Fp A Lead Corporate Fp A jobs in Los Angeles,CA

Calportland

Glendora, CA 91741

Fidelity Investments

Reseda, CA 91335

Mutual of Omaha

Torrance, CA 90501

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.

Patrice and Associates - Recruiting Specialists

Los Angeles, CA 90011

Patrice and Associates - Recruiting Specialists

Los Angeles, CA 90011

Fidelity Investments

Reseda, CA 91335

BNY

Los Angeles, CA 90079

Werner Enterprises

Palmdale, CA 93550

Must be 21 years old
Valid Class A CDL
At least 1 month (30 days) of commercial driving experience is required
Acceptable driving record
Able to perform the essential functions of the job (with or without reasonable accommodations)
Meet all DOT qualifications
Pass a DOT physical, including a DOT drug screen and company hair follicle testing
Acceptable references from past employers