- SMBC (New York, NY)
- …compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7 , 24, 79 a plus. SMBC's employees participate ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- Coinbase (Madison, WI)
- …customers. *Nice to haves:* * Experience supporting a retail (fully disclosed) introducing broker. * JD , Series 7 , Series 24. * Experience working at ... requirements):* * 7 + years experience working in a retail broker-dealer compliance team. * Comfortable working in a fast-paced environment with high levels of… more
- Insight Global (Dallas, TX)
- …Requirements *Bachelor's degree required; JD , MBA, or other advanced degree a plus. *FINRA Series 7 , 24 and 63 are required *5+ years of compliance ... seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in...space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the… more
- JPMorgan Chase (New York, NY)
- … compliance , supervision, controls, risk or audit experience + Minimum licensing requirement: FINRA Series 7 and Series 24 + Strong attention to detail + ... of business and regions. **Job responsibilities** + Collaborate with Compliance and Legal teams in order to help ensure...skills** + Bachelor's Degree preferred in a business-related discipline; MBA/ JD is preferred + Additional FINRA Series … more
- City National Bank (New York, NY)
- …experience * Minimum 10 plus years of experience in U/HNW segment * FINRA Series 7 , 63, and 24 securities licenses required. * SAFE Act Registration ... solution knowledge * Excellent business development and relationship management skills * FINRA Series 7 , 63, and 24 securities licenses required. * May possess… more
- City National Bank (West Hollywood, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... 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 (Charlotte, NC)
- …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
- JPMorgan Chase (Philadelphia, PA)
- …Compliance functions to ensure best practices **Required qualifications, capabilities, and skills:** + Series 7 , 9, 10, 66 and SIE licenses required + A ... Excel **Preferred qualifications, capabilities, and skills:** + Bachelor's degree required; MBA, JD or CFA or other professional designation strongly preferred. + … 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
- 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
- Edward Jones (St. Louis, MO)
- …or experience with data manipulation (eg statistics, data analytics, trend reporting) preferred + Series 7 , 9, 10, 24, 66 are required or must be obtained ... for regulatory filings + Assist with ensuring the firm's compliance with regulatory reporting obligations resulting from the complaint...1 year of hire + Securities industry experience or Doctor of Jurisprudence ( JD ) strongly preferred +… more
- Ford Motor Company (Dearborn, MI)
- …external lighting, functional Safety failure mode avoidance ASPICE, regulatory compliance development design verification and validation. You will develop features ... and improvements (ie Data Analytics/VOCF/Launch Feedback/Warranty/External Metrics such as JD Powers). You'll have Bachelor's Degree in Mechanical, Electrical,...a deep dive into what you love, or a series of new teams and new skills? Will you… more
- BOOZ, ALLEN & HAMILTON, INC. (San Diego, CA)
- …Requirements List ( CDRL ) , ensuring adequacy, consistency, and compliance with administrative, regulatory, and procedural requirements. This position is located ... in San Diego, CA. Basic Qualifications: + 7 + years of experience with cradle-to-grave contract management, including...+ Knowledge of FAR, DFARS, NMCARS, and DoD 5000 series regulations and laws, executive orders, statutes, policies ,… more
- Humana (Raleigh, NC)
- …in a Master of Business (MBA) or other advanced professional degree (eg MPH, MD, JD , Ph.D.), with a graduation in Spring or Summer 2027 + Must be available to ... week for 12 weeks from May 18 to August 7 , 2026 + Must not require sponsorship to work...Networking:** Engage with senior leaders and peers through speaker series , fireside chats, and curated networking events. + **Mentorship… more
- First Horizon Bank (Huntsville, AL)
- …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
