1211 Supervisory Experience jobs in Los Angeles,CA

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.

Packaging Corporation Of America

Los Angeles, CA 90011

ESA Management, LLC

Torrance, CA 90501

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.