- Wells Fargo (New York, NY)
- …predictive intelligence and time-aware modeling, with a strong foundation in time series analysis, statistical learning, financial modeling and automation. **In ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- JPMorgan Chase (New York, NY)
- …sophisticated machine learning methods to complex tasks including time series analysis, reinforcement learning, causal inference, and natural language processing. ... to solve real-world problems and apply it to tasks such as time- series analysis and modelling, constrained optimization and prediction for large systems,… more
- MTA (New York, NY)
- Analyst Series - Strategic Priorities (Buses) Job ID: 13020 Business Unit: MABSTOA Location: New York, NY, United States Regular/Temporary: Regular Department: NYC ... Transit Authority Date Posted: Sep 15, 2025 Description Job Information Analyst Series - Strategic Priorities (Buses) First date of posting: 9/15/2025 Last date of… more
- MTA (New York, NY)
- Analyst Series - Regional Operations (Buses) Job ID: 13021 Business Unit: MABSTOA Location: New York, NY, United States Regular/Temporary: Regular Department: NYC ... Transit Authority Date Posted: Sep 15, 2025 Description Job Information Analyst Series - Regional Operations (Buses) First date of posting: 9/15/2025 Last date of… more
- Raymond James Financial, Inc. (Savannah, GA)
- …of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and ... of branch procedures. + Assists Branch Manager with confidential matters and compliance visits and replies. + Assists Branch Manager with controlling expenses and… more
- MTA (Brooklyn, NY)
- Transit Railcar Technology Specialist Series Job ID: 13138 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: Regular ... Date Posted: Sep 22, 2025 Description Job Title : Transit Railcar Technology Specialist Series First Date of Posting : September 22, 2025 Last Date of Filing:… more
- MTA (Brooklyn, NY)
- Mechanical Engineer Series Job ID: 11712 Business Unit: MABSTOA Location: Brooklyn, NY, United States Regular/Temporary: Regular Department: NYC Transit Authority ... Date Posted: Jul 24, 2025 Description Job Information Title: Mechanical Engineer Series - Facilities First Date of Posting: 5/9/2025 Last Date of Filing: Open Until… more
- Insight Global (Tampa, FL)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such… more
- Raymond James Financial, Inc. (Memphis, TN)
- …for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy ... framework. **Skills:** + Uses expertise to act as organizational authority on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. + Applies expertise to act as the organizational authority on developing… more
- GE Vernova (New York, NY)
- …experienced regulatory compliance professional that will partner with GE Vernova's Financial Services ("FS") business to manage FS' compliance program. The ... Deputy Compliance Leader - Financial Services ("Deputy Compliance Leader") will develop,...+ Holds US securities industry licenses, such as SIE, Series 7 and Series 24. + Experience… more
- Vanguard (Charlotte, NC)
- …and elevate our client experience. Responsibilities + Conducts routine and targeted compliance monitoring and testing across financial services operations, with ... and strategic priorities. Qualifications + Minimum 5 years of compliance experience in financial services, with at...E, Reg CC, NACHA). + CRCM certification required; FINRA Series 7 and 24 strongly preferred. + Strong analytical,… more
- Equitable (Charlotte, NC)
- …join the Advertising Compliance team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...material largely developed by or on behalf of individual Financial Professionals and, in some cases, marketing collateral created… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Operations Analyst plays a key role in supporting the firm's compliance with non- financial regulatory reporting requirements. Leveraging advanced knowledge ... is specifically seeking candidates with relevant experience in **Trading or Compliance ** , as this background provides valuable context for understanding regulatory… more
- US Bank (Charlotte, NC)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on...experience - Typically 3+ years of applicable experience - ** Series 7, Series 24, and Series… more
- Equitable (Woodbridge, NJ)
- …Rewards Program **Qualifications** **Required Qualifications** + 3 years of work experience in the financial services industry + FINRA Series 7 + FINRA Series ... Sr. Branch Compliance Manager ( 250000H7 ) **Primary Location** :...the Atlantic Liberty Branch with the supervision of the Financial Professionals for the branch as well as oversight… more
- Aegon Asset Management (Cedar Rapids, IA)
- …specifically with 2 years of experience in both the securities industry and Advertising Compliance . + FINRA Series 7/24 + At least 1-year of managerial ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...than a century ago, we were among the first financial services companies in America to serve everyday people… more
- TD Bank (Mount Laurel, NJ)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 15 research ... trends that lead to faster and better strategic and financial decisions. Cleveland Research Company is a truly independent...help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key… more
- Lincoln Financial (Greensboro, NC)
- …Role at a Glance** We are excited to bring on a Consultant, Advertising Compliance to support our Lincoln Financial Distributors (wholesale) business unit in ... 6/26 or Series 7/24 required. * 3+ years' experience with compliance , marketing reviews and advertising material preferred. * Ability to read, analyze, and… more
- Columbia Bank (Greenwood Village, CO)
- … Financial Advisor(s) and clients + Provide backup support to other Financial Assistants when necessary. + Demonstrates compliance with all bank regulations ... Financial Service Sales Assistant Wealth Management Tacoma, Washington...fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and… more