- 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
- 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
- Louisiana Department of State Civil Service (Baton Rouge, LA)
- …you work and during what time period(s)? If not, indicate "NA". 05 To ensure compliance with PPM # 9 , DOTD Nepotism Policy, please list the name and relationship ... Surveyor Intern 1- Surveyor 5 Series (Location and Survey) Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/5010304) Apply Surveyor Intern 1-… more
- New York State Civil Service (New York, NY)
- …HELP No Agency Court Administration, Office of Title Network System Engineer Series Occupational Category IT Engineering, Sciences Salary Grade 28 Bargaining Unit ... 0% Workweek Mon-Fri Hours Per Week 35 Workday From 9 AM To 5 PM Flextime allowed? No Mandatory...RECRUITING FOR FEW POSITIONS IN THE NETWORK SYSTEM ENGINEER SERIES . THESE POSITIONS WILL BE FILLED IN ANY OF… more
- Veterans Affairs, Veterans Health Administration (Milwaukee, WI)
- …facility policies and procedures, including the Code of Conduct and Corporate Compliance Program. Provide safe and therapeutic care using the ICARE values inherent ... license from any US State or territory Work Schedule: 0. 9 FTE/72 hours per pay period (6-12 hour shifts)...- All persons currently employed in VHA in 0610 series and performing the duties as described in the… more
- Lockheed Martin (San Diego, CA)
- …experience; experience working with other MIL\-SPEC and COTS equipment/systems\. Familiarity and compliance with the Navy PMS \(OPNAVINST 4790\.4 series in ... Award\-Winning Place to Work **WHO YOU ARE** This position is an Baseline 9 Computer Technician and the candidate must have previous experience\. This position will… more
- JPMorgan Chase (Jersey City, NJ)
- …other Compliance function + FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered JPMorganChase, one of the oldest ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- MetroLink (Los Angeles, CA)
- …DISTINGUISHING CHARACTERISTICS This is the entry level in the Contract and Compliance Administrator series . At this level, assignments are generally limited ... Contracts & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5023137) Apply Contracts &...the SDI program. The contribution rate for 2015 is 0. 9 percent of earnings. The SDI taxable wage limit… more
- Edward Jones (St. Louis, MO)
- …Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 ... a team of associates responsible for administering a risk-based compliance program intended to provide reasonable assurance to the...requirements with the firm's business goals and objectives. + Series 7, 24 and 66 are required within 6… more
- Ventura County (Ventura, CA)
- …CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9 /80 workweek) may be available for some positions. + Telework Schedule - A remote ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- Wells Fargo (Atlantic Highlands, NJ)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- M&T Bank (Clanton, AL)
- …analysis and judgment-based work to support the identification and quantification of compliance risk. Utilize a data driven approach to assess the effectiveness of ... derive data-driven insights and conclusions Work with business units and compliance groups to ensure consistent understanding of requirements. Execute independent… more
- Citigroup (New York, NY)
- …+ Required: US FINRA Registration: SIE; Series 7; Series 63 + Series 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series ... CPWM and the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital Markets. + Represents… more
- Bank of America (New York, NY)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Tulsa, OK)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (San Francisco, CA)
- …**required** to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent ... clients to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Key Qualifications for… more
- Bank of America (Miami, FL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Lake Oswego, OR)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Bank of America (Northbrook, IL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Raymond James Financial, Inc. (Denver, CO)
- …regulations, and client suitability (all at a level consistent with the requirement of Series 9 , 10, and 24 licensing). * Familiarity/facility with RJ and its ... Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading...grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o… more