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Principal Tpmm Strategy Collection

Los Angeles,CA

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1983 Principal Tpmm Strategy Collection jobs in Los Angeles,CA

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Regional Supervisory Principal

Mutual of Omaha

Torrance, CA 90501

Hybrid~ 24 minUrgently HiringPaid Time OffRetirement Benefit

  • 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.
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New, Posted 1 day ago
Requirements & Verification Systems Engineer (Principal or Senior Principal Level) - R10226672-2

Northrop Grumman

El Segundo, CA 90245

Account Director - Energy Providers West

Guidehouse

Los Angeles, CA 90011

New, Posted 1 day ago
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Employee Relations & Compliance Principal

Okta

Los Angeles, CA

New, Posted 1 day ago
Principal Animal Technician - DLAM

UCLA Health

Inglewood, CA 90301

$31.34-$41.36/hr
Recommended
Principal Software Engineer

Disney Entertainment and ESPN Product & Technology Careers

Glendale, CA 91205

$188,400-$252,600/yr
New, Posted 18 hours ago
Head Of DTC Marketing

MGA Entertainment

Los Angeles, CA 90011

$200,000-$300,000/yr
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Regional Supervisory Principal

Mutual of Omaha

Torrance, CA 90501

Hybrid~ 24 minPaid Time OffRetirement Benefit

  • 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.
SmartExplore AI is experimental.
View now
New, Posted 1 day ago
Head of Marketing (US)

Hudson Greater China

Los Angeles, CA 90011

New, Posted 1 day ago
Sr. Firmware Engineer, Annapurna Labs, Machine Learning Acceleration - Power and Performance

Amazon

Los Angeles, CA 90011

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