- Access Dubuque (Dubuque, IA)
- …degree from an accredited institution in law, finance, business, or related field required. + Juris Doctor ( JD ) from an accredited law school preferred. + ... Director of Compliance **University of Wisconsin-Platteville** 1 Positions ID: 80485...Pioneer Farm in partnership with businesses, universities and agencies. 7 . Expect scholarly activity, including applied research, scholarship and… more
- Veterans Affairs, Veterans Health Administration (San Diego, CA)
- …of internal and external customers at every opportunity. Other preferred qualifications: Juris Doctor ( JD ), Risk Management Certificate, Health Law ... all off-site locations. The Risk Manager collects data, monitors staff compliance with relevant policies, directives, and standards, provides reports detailing… more
- KeyBank (Cleveland, OH)
- …Regulatory Compliance Manager (CRCM) + Certified Financial Planner (CFP) + FINRA Series licenses (eg, Series 7 , 24) Job Posting Expiration Date: ... Square - Cleveland, Ohio 44114 **JOB BRIEF (PURPOSE)** The Wealth Management Compliance Executive is a senior leader responsible for overseeing and enhancing the… more
- BMO Financial Group (New York, NY)
- …all regulations, directives and guidance which apply to the group(s) supported. **Qualifications:** + ** Series 7 , SIE, and 24 required.** ** Series 57, 63, ... The BMO Capital Markets Compliance team is hiring for a CCO of...years of relevant experience and a post-secondary degree (ie JD , MBA) in related field of study or an… more
- Comerica (Dallas, TX)
- …and banking needs + 7 years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...A Bachelor's degree in Business, Economics, or Finance + 7 years of experience sales and client management experience… more
- City National Bank (Los Angeles, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Truist (Philadelphia, PA)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- Citigroup (Boston, MA)
- …(mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + In-depth knowledge ... Bachelor's degree in finance, business, or related field (required). Advanced degrees ( JD , LL.M.) or certifications (CFP(R)) are preferred. + 15+ years of experience… more
- Federal Emergency Management Agency (Kansas City, MO)
- …serve as an Emergency Management Specialist in the FEMA Region 7 Recovery Division Public Assistance Program Management Branch Closeout Section. Responsibilities ... will serve as an Emergency Management Specialist in the FEMA Region 7 Recovery Division Public Assistance Program Management Branch Closeout Section. Typical… more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Accident and Health Insurance License required. + CFP, ChFC, JD , CPA or similar designation currently held of actively… more
- BOOZ, ALLEN & HAMILTON, INC. (San Diego, CA)
- …Requirements List ( CDRL ) , ensuring adequacy, consistency, and compliance with administrative, regulatory, and procedural requirements. This position is located ... in San Diego, CA. Basic Qualifications: + 7 + years of experience with cradle-to-grave contract management, including...+ Knowledge of FAR, DFARS, NMCARS, and DoD 5000 series regulations and laws, executive orders, statutes, policies ,… more
- First Horizon Bank (Huntsville, AL)
- …behalf **PREFERRED QUALIFICATIONS** + MBA, JD , CFA, or CFP preferred + Series 7 , 66 and Insurance licenses preferred + Proactive, takes initiative, and ... to meet the requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related regulations.… more
- Humana (Albany, NY)
- …in a Master of Business (MBA) or other advanced professional degree (eg MPH, MD, JD , Ph.D.), with a graduation in Spring or Summer 2027 + Must be available to ... week for 12 weeks from May 18 to August 7 , 2026 + Must not require sponsorship to work...Networking:** Engage with senior leaders and peers through speaker series , fireside chats, and curated networking events. + **Mentorship… more
- CNO Financial Group (Carmel, IN)
- …and providing support to the following areas within the Law Department: + Compliance + Employment + Litigation + Privacy + Legal Operations + Government Relations ... 2026 internship program will run May 18 through August 7 , 2026. During this period, we offer programming that...+ Development Opportunities + Insurance Product and Industry Presentation Series + An in-person event at one of our… more
- NBC Universal (Universal City, CA)
- …legal experience at a network, studio, entertainment law firm or production company. + Juris Doctorate ( JD ) from an accredited law school. + Member of the ... personnel. + Draft and negotiate agreements for licensing of acquired television series , motion pictures and specials and serve as a business and legal… more