- Unknown (Jersey City, NJ)
- …for and responsive to regulatory exams and inquiries. Applicants must have broker-dealer experience, a FINRA Series 7 License , and a Series 24 (or the ... Vice President, AML Compliance About the Company Popular investment & trading...About the Role The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and… more
- Unknown (Jersey City, NJ)
- …compliance with regulatory requirements. The ideal candidate will have a Broker-dealer experience, a FINRA Series 7 License , and a Series 24 (or the ... Vice President, AML Compliance About the Company Digitally-driven brokerage & wealth...About the Role The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and… 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 (Kentwood, MI)
- …review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements - Series 7 license AND -either ... Series 65 or 66 or Series 24 licenses -3+ years in financial compliance role -customer focused attitude and ability to communicate effectively with multiple… more
- Raymond James Financial, Inc. (New York, NY)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area required or the ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain… more
- Edward Jones (Tempe, AZ)
- …Read More About Job Overview **Skills/Requirements** **font-family:" arial",sans-serif"="">What You'll Need:** + Series 7 license that is currently active ... Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest...held a minimum of one year + Must obtain Series 9, 10, 24, and 66 within 6 months… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …of Compliance and/or regulatory experience within both RIA and broker-dealer business segments., + Series 7 , 24 (or 26), 63, 65 (or 66), Series 53 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report… more
- National Park Service (Luray, VA)
- …prevention measures (Permanone) on exterior of clothing and equipment. Duties for the ( Compliance ) position: This GS- 7 position performs site visits to document ... position appropriate for temporary appointment with the same qualification requirements (5 CFR 316.402[b][ 7 ]), based on series and grade, anywhere in the major… more
- Deloitte (Dallas, TX)
- …regulatory and/or compliance driven environment. Securities Industry Essentials (SIE) and FINRA Series 7 license required or must obtain within 60 days ... Corporate Finance Compliance Analyst Our Deloitte Strategy & Transactions team...impact. Deloitte Corporate Finance LLC (DCF) is seeking a Compliance Analyst to join its team. The ideal candidate… more
- Citigroup (San Francisco, CA)
- …verbal and written communication skills Customer service orientation. + Required: US FINRA Registration: SIE; Series 7 ; Series 63 + Series 65 (or ... the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital...Series 66); Series 9 + Series 10 (or Series 24, Series… more
- Wells Fargo (Davidson, NC)
- …experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... have at least18 monthsof experience functioning as a registered representative, Series 7 , within the five-year periodimmediatelypreceding the designation and… more
- Vanguard (MO)
- …knowledge. + High school, associate degree, or bachelor's degree. + This job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA, ... Have your FINRA Series 7 and 63 and a...Have your FINRA Series 7 and 63 and a passion for serving...state, SFC). These will be determined by Compliance based on role-specific duties. + A desire for… more
- Sacramento County (Sacramento, CA)
- …5:00 pm on: 1/14/26 (final) Positions in the Building Inspector series review construction plans, and/or inspects all residential, commercial, industrial buildings, ... and other structures in Sacramento County to determine compliance with applicable local, state and national codes. Examples of Knowledge and Abilities Knowlege of +… more
- Citizens (Johnston, RI)
- …Education, Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA Licensures: Series 7 & either Series 24 or Series ... the incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting. +...63 (or demonstrate the ability to obtain the required Series 63 license within 90 days of… more
- State of Massachusetts (Boston, MA)
- …$75,379.72 paid in bi-weekly amounts of approximately $2,899.22 Grade 18, Step 7 I. HEATING, VENTILATION, AIR CONDITIONING AND REFRIGERATION (HVAC) MECHANIC ... SERIES : * Heating, Ventilation, Air Conditioning and Refrigeration (HVAC)...and review performance through written and verbal reports for compliance with applicable laws, rules and regulations. VIII. SUPERVISION… more
- Veterans Affairs, Veterans Health Administration (Oklahoma City, OK)
- …procurement status and other needs and concerns. Monitors and analyzes PSAS compliance reports, Delayed Order Report, assists in developing tools that monitor VHAs ... in accordance with local and national policies. Monitors and analyzes PSAS compliance reports, Delayed Order Report, assists in developing tools that monitor VHA's… more
- Vanguard (Malvern, PA)
- …a dynamic environment. Already Licensed? If you currently hold a Series 7 , Series 63 and Series 24 license , you'll be able to contribute right away ... a key contributor in a team that values accuracy, compliance , and operational excellence. As an Account Approval Operations...of training and experience. ✔ This job requires a Series 7 , 63 and 24 (or ability… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 (or Series 7 ) exam sufficient to ... for growth opportunities in an assigned market + Ensure adherence to compliance regulations and policies + Perform research within Business Growth Strategy… more
- Wells Fargo (Roseville, CA)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA ... within Wealth Market Growth Strategy functional area **Required Qualifications:** + 7 + years of Wealth Market Growth Strategy experience, or equivalent demonstrated… more
- Wells Fargo (Melville, NY)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or ... and various remediation projects to ensure timely completion, quality, and compliance + Lead, participate and collaborate with peers, colleagues and mid-level… more
