- Veterans Affairs, Veterans Health Administration (Togus, ME)
- …System Specialist Intern (TCF) position is assigned to the Office of Integrity and Compliance (OIC) Program as a trainee in the VA Technical Career Field (TCF), ... Contributes to the fulfillment of the elements of an effective compliance program to include complianceprogram committee oversight, training and education, auditing… more
- Comerica (Dallas, TX)
- …and banking needs + 7 years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...A Bachelor's degree in Business, Economics, or Finance + 7 years of experience sales and client management experience… more
- Principal Financial Group (Des Moines, IA)
- …tools. + Experience with LEAN, Six-sigma, Agile methodologies. + Required Securities Licenses: FINRA Series 7 and 24 + Preferred Securities Licenses: Series ... you ready to shape the future of supervision and compliance at one of the most respected financial institutions...**Who You Are** + Bachelor's degree preferred; additional degrees (MBA/ JD ) a plus + 10+ years of experience in… more
- City National Bank (New York, NY)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The SFA ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Truist (Mclean, VA)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- Truist (Chattanooga, TN)
- …essential functions. + Bachelor's Degree Required + FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics + CFP preferred or CTFA, CFA, CPA, JD or MBA + Completion or enrollment in certification… more
- Citigroup (New York, NY)
- …(mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + In-depth knowledge ... Bachelor's degree in finance, business, or related field (required). Advanced degrees ( JD , LL.M.) or certifications (CFP(R)) are preferred. + 15+ years of experience… more
- Veterans Affairs, Veterans Health Administration (Memphis, TN)
- …is aligned to and supervised by the C&P Manager and ensures compliance with internal or external auditors and reviewers as appropriate. Responsibilities The ... incumbent ensures compliance with VHA policies, directives, memos and notices of...the full performance level. Work Schedule: Monday - Friday, 7 :30AM - 4:00PM Telework: Ad-hoc Virtual: This is not… more
- Truist (Philadelphia, PA)
- …essential functions. * Bachelor's Degree required * FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight **Preferred Qualifications:** * MBA, JD , CPA, CFA or CFP * 5 years of… more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Accident and Health Insurance License required. + CFP, ChFC, JD , CPA or similar designation currently held of actively… more
- Food and Drug Administration (College Park, MD)
- …bodies. Provides technical and regulatory support for farm and facility inspections, compliance and enforcement actions, and recalls. Serves as a nationally and ... Produce Safety position which falls under the 0601 occupational Series , you must meet the following requirements by 11:59...WILL BE REQUIRED) Have a bachelor's degree and have 7 years of comparable experience directing major initiatives designed… more
- Veterans Affairs, Veterans Health Administration (Fort Harrison, MT)
- …complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued ... position you must have served 52 weeks at the GS- 7 . The grade may have been in any occupation,...of 1998 (VEOA) appointment. Individual Occupational Requirement - This series has the following Individual Occupational Requirement: You may… more
- Edward Jones (St. Louis, MO)
- …+ Bachelor's degree in Business, Finance, Accounting or Law required + Advanced degree (such as JD ) required + Series 7 and 66 required within 6 months of ... with Edward Jones internal stakeholder groups (Edward Jones Trust Co, Compliance , Legal, Service, Operations, Home Office Portfolio Strategist, etc.) to ensure… more
- NBC Universal (Universal City, CA)
- …legal experience at a network, studio, entertainment law firm or production company. + Juris Doctorate ( JD ) from an accredited law school. + Member of the ... personnel. + Draft and negotiate agreements for licensing of acquired television series , motion pictures and specials and serve as a business and legal… more
- First Horizon Bank (Chattanooga, TN)
- …behalf **PREFERRED QUALIFICATIONS** + MBA, JD , CFA, or CFP preferred + Series 7 , 66 and Insurance licenses preferred + Proactive, takes initiative, and ... to meet the requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related regulations.… more
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