- Unknown (New York, NY)
- …Head of Fixed Income Compliance position at the company will have a college degree, Series 7 and 24 licenses or the ability to obtain them, and a proven ... Head of Fixed Income Compliance About the Company Globally recognized financial services...is in search of a Head of Fixed Income Compliance to join their dynamic team. The successful candidate… more
- Unknown (New York, NY)
- …1940, the Investment Advisers Act of 1940, SEC Rule 482, and FINRA Rule 2210. FINRA Series 7 and 24 licenses are mandatory. The role demands a professional with ... Senior Vice President, Registered Funds Compliance About the Company Top-tier provider of investment...search of a Senior Vice President for Registered Funds Compliance . This executive-level position is pivotal in overseeing the… more
- Unknown (Boston, MA)
- Chief Compliance Officer About the Company Pioneering healthcare solutions...environment, as well as a clean U-4 with current Series 7 , 24, 53, 99, and 66 ... About the Role The Company is seeking a Chief Compliance Officer to join their team. The successful candidate...licensing, internal controls, and various regulatory responsibilities. The Chief Compliance Officer will also be involved in managing … more
- USAA (Tampa, FL)
- …model. Experience with Virtual Technology and ability to deliver training remotely. Current FINRA Series 7 and/or attainment within 90 days of job entry. Current ... measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: Bachelor's degree...of job entry. What sets you apart: Current FINRA Series 7 . Current FINRA Series … more
- USAA (Plano, TX)
- …Experience with Virtual Technology and ability to deliver training remotely. Current FINRA Series 7 and/or attainment within 90 days of job entry. Current ... measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: Bachelor's degree...of job entry. What sets you apart: Current FINRA Series 7 . Current FINRA Series … more
- Unknown (San Francisco, CA)
- …with a JD or advanced degree being a plus, and the candidate must hold FINRA Licenses: Series 7 , 24, and 63, with Series 79 and 82 being preferred. The ... (CRO) to take the lead in all regulatory and compliance functions for its registered broker-dealer and RIA. The...candidate will be responsible for developing and executing a compliance strategy that is in line with the company's… more
- USAA (Phoenix, AZ)
- …Carrier appointments within 90 days of job entry. RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53), and/or ... apart: US military experience through military service or a military spouse/domestic partner Current/Active FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53)… more
- USAA (Phoenix, AZ)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: High School Diploma or… more
- USAA (Phoenix, AZ)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: High School Diploma or… more
- Larson Wealth Partners, LLC (Indianapolis, IN)
- …of equity and options trading experience within an RIA, asset manager, or hedge fund Series 63 ( Series 7 preferred) Deep understanding of equity markets, ... Collaboration & Oversight Partner closely with the Investment Team, Operations, and Compliance to maintain accuracy and control. Provide trading insight and feedback… more
- Unknown (Detroit, MI)
- …an entrepreneurial spirit, be a self-starter with a growth mindset, and possess the necessary Series 7 (or 82) and 63 licenses. The VP will work closely with ... and current investors, maintaining a personal book of business, and ensuring compliance with securities laws and regulations. This role requires a professional with… more
- USAA (Phoenix, AZ)
- …through military service or a military spouse/domestic partner Current / Active FINRA Series 7 Current / Active Life/Health license CFP (Certified Financial ... channels. Works with Product Owners, Process Owners, Experience Owners, and Compliance stakeholders to evaluate products, advice, and solutions to develop and… more
- Unknown (Bethesda, MD)
- …a strong understanding of compliance , current life and variable licenses, and FINRA Series 6 (or 7 ) and 63 licenses. Professional designations such as CLU, ... ChFC, CFP, or similar are preferred. The position involves travel and demands a professional who can build and maintain strong business relationships while working within a team to support the sales process. Hiring Manager Title Channel Lead Vice President… more
- Unknown (Chicago, IL)
- …experience in alternatives, mutual fund, or SMA sales within the wealth channel, and hold FINRA Series 7 and 63 licenses. A proven track record of success in a ... to 80% are essential. The role also involves adhering to compliance guidelines, managing administrative responsibilities, and conducting client seminars and events.… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Medicine Family Medicine - Centerfield Clinic Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...personality with the ability to maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4… more
- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 , 9 & 10 required. + Series 63, 65 ... of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and… more
- MTA (Brooklyn, NY)
- Transit Management Analyst Series Job ID: 12879 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: Regular Department: NYC ... Nov 25, 2025 Description Job Title: Transit Management Analyst Series First Date of Posting: October 29, 2025 Last...Island Overhaul Shop Hours of Work: Various - primarily 7 :00 AM to 3:00 PM * Those who have… more
- T. Rowe Price (Owings Mills, MD)
- …of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 and Series 24 registrations, Series 24 may be ... matter to you . About this Position Reporting to the Broker/Dealer Chief Compliance Officer, the role is responsible for ensuring compliance programs including… more
- TEKsystems (Scottsdale, AZ)
- …a Financial Advisor Assistant is helpful. Nice-to-Have Skills + Proficiency in Excel for data entry. + Series 7 , Series 6, Series 63, Series 66 ... and supporting branch offices. This role is critical in maintaining compliance with industry standards and firm policies while delivering exceptional customer… more
