- Metropolitan Transportation Authority (New York, NY)
- Description Position at New York City Transit Job Title: Transit Management Analyst Series Last Date of Filing: Open Until Filled Authority: NYCT Department: Subways ... role in strengthening the administrative framework of our operations, improving compliance , and ensuring accountability. The ideal candidate will bring expertise in… more
- Claire Myers Consulting (Boise, ID)
- …and records for field offices in accordance with FINRA requirements Provide compliance and risk management guidance to financial representatives and support ... concerns Contribute to the strategic direction of the local compliance program Train financial professionals and staff... and regulatory topics What You'll Need: Active FINRA Series 7, 9/10, and 63 registrations (or Series… more
- Raymond James Financial, Inc. (Birmingham, AL)
- …Experience - 7 to 12 months Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), … more
- Robinhood (Chicago, IL)
- …team The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial , LLC ("RHF"), drives a culture of compliance that actively supports ... Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers...our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and… more
- Suncoast Credit Union (Cape Coral, FL)
- …- $260,000 Year 10 | $300,000+ Region: Cape Coral & North Fort Myers The Financial Advisor works within an assigned region of credit union branches to acquire new ... solutions for individuals, families, and business owners. Key responsibilities include executing financial planning and financial advisory concepts to provide an… more
- Millennium Management LLC (New York, NY)
- … compliance manual. Qualifications 10+ years of experience in financial services. Expertise and in-depth knowledge/understanding of the regulatory requirements ... Financial Reporting Manager Responsibilities Oversee the financial...aspects of a registered Futures Clearing Merchant ("FCM"), ensuring compliance with regulatory requirements. Responsible for the review of… more
- PNC Financial Services Group, Inc. (Houston, TX)
- …transaction activity of the deal team including pipeline management and financial reporting. *Works strategically with bankers, underwriting syndicate, sales team, ... industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with… more
- Corebridge Financial (Linthicum Heights, MD)
- …years of experience working as a Financial Advisor A successful sales track record FINRA Series 6 or 7 licenses and a Series 63 and 65 or 66 Active state ... Who We Are At Corebridge Financial , we believe action is everything. That's why...planning tools Company-paid E&O, licensing fees, continuing education and compliance support What we are looking for We love… more
- Wealth Enhancement Group (Melville, NY)
- …of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond ... the standard approach. We proudly provide unique financial plans and investment management services to over 75,000 households from our over 100 offices - and growing… more
- CAIS (New York, NY)
- …to and education about alternative investments and structured products for independent financial advisors, empowering them to engage and transact with leading asset ... variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies,… more
- AQR (Greenwich, CT)
- …AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results ... seeking the truth. We're determined to know what makes financial markets tick - and we'll ask every question...a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Vice President level,… more
- TradeStation (Chicago, IL)
- …Financial Crimes Analyst who will conduct ongoing suspicious activity and compliance monitoring, to include financial transactions, sanctions, adverse media, ... investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries...the policies and procedures of the firm, and in compliance with the USA Patriot Act and FINRA 3310.… more
- AFIN Family Wealth Management Inc (Winnetka, IL)
- Senior Financial Advisor AFIN Family Wealth Management is a firm specializing in holistic financial planning for individuals and businesses. Our goal is to make ... financial planning understandable and accessible by offering personalized, hands-on...Administration, or related field Life and Health Insurance license Series 7 and 66 (or 63 and 65) Required… more
- National Life Group (Montpelier, VT)
- …assigned. Preferred Qualifications LOMA certifications, including the Associate, Insurance Regulatory Compliance ("AIRC") designation FINRA Series 7 and 24 ... Life & Annuity Deputy Chief Compliance Officer/Sr. Compliance Director Company Summary...National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of… more
- Fulton Bank (Southampton, PA)
- …is a full-time, on-site, commissioned career opportunity based out of our Southampton Financial Center in Bucks County, PA. Advise clients on financial plans ... assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives to establish investment strategies. Responsibilities Services an existing… more
- Careers at KKR (Boston, MA)
- …retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR's investments may include the activities of its ... sponsored funds and insurance subsidiaries. POSITION SUMMARY The Senior Compliance Officer - Marketing Review will support the Company's compliance program, with… more
- Interactive Brokers (Chicago, IL)
- …duties or responsibilities assigned. Qualifications: 7+ years of experience within AML/Fraud compliance and Financial Services operations, preferably at a large ... Bachelor's degree or military experience. Willingness and ability to obtain financial registration exams promptly. Preferred Qualifications: Series 7 /… more
- Northwestern Mutual Life Insurance Company (Franklin, WI)
- …and Advisory Services in cross-departmental project teams focusing on compliance , supervision, regulatory issues, marketing and sales strategies, cross-selling, and ... financial security planning. Work across all Wealth Management product...assigned products. Ensure products, programs, and processes appropriately address compliance concerns. Manages a team of people leaders and… more
- Citigroup, Inc. (River Forest, IL)
- …of the affluent and High Net Worth segment through the use of financial planning and excellent discovery and profiling skills. Anticipate the complex financial ... credit and investment needs and goals in order to provide holistic financial solutions. Provide regular value-added engagement with clients- High touch, face-to-face… more
- Western Municipal Water District (March Air Reserve Base, CA)
- …position. The Position Under close supervision, individuals within the Accountant I series are responsible for performing routine duties in the maintenance, review ... and analysis of fiscal records, and the preparation of financial reports. The accountant's key focus will be budget...Accountant I is the entry-level class in the accounting series . ESSENTIAL FUNCTIONS The duties listed below are intended… more
