- 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
- MUFG (Irving, TX)
- …**Qualifications:** + Bachelor's degree required, advanced degree ( JD , MBA preferred) + 5- 7 years of Compliance and Control Room experience required + FINRA ... position shall be responsible to ensure that an effective compliance program is developed and maintained to address ...and written) + Experience with Excel or Access + Series 7 a plus The typical base… 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 (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 (Philadelphia, PA)
- …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
- Amazon (Culver City, CA)
- …for the creation and distribution of original music for Movies and Series , including deals with composers, songwriters, music supervisors, recording artists, music ... finance, legal, and creative teams. * Monitoring and ensuring compliance with studio precedent, policies and procedures. A day...team The Music BA Team is made up of 7 Executives globally, supporting all types of original production… more
- National Park Service (Page, AZ)
- …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 ... Recreation Area and is part of the Planning & Compliance Division. These positions may be filled for a...leading to such a degree, -OR- An LL.B. or JD , if related. Please Note: One year of full-time… 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
- BOOZ, ALLEN & HAMILTON, INC. (San Diego, CA)
- …Data Requirements List ( CDRL ) , ensuring adequacy, consistency, and compliance with administrative, regulatory, and procedural requirements. This po sit ion 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
- National Park Service (Tupelo, MS)
- …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 ... one full year of specialized experience comparable in scope and responsibility to the GS-1170- 7 grade level in the Federal service (obtained in either the public or… more
- Customs and Border Protection (Loudoun County, VA)
- …States" pay table. Some positions fall under a special pay rate depending on the series , grade level and location of the position. Please visit this link to view ... with monitoring the turnover of seized property to ensure compliance with established timeframes set by national policy and...a degree in any field, or a LLB or JD from an accredited college or university may substitute… more
- City National Bank (New York, NY)
- …Must remain in good standing under the Safe Act. *Additional Qualifications* * FINRA Series 7 , 63, and 24 securities licenses preferred * State insurance ... effectively in a matrix management environment. Risk Management, Credit Quality and Compliance * Ensure client team profiles thoroughly and is current on clients'… more
