- University of Colorado (Aurora, CO)
- …Family Medicine Boulder Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Boulder Clinic** **Open Rank - Senior Instructor Series ** **Position #00829518: - Requisition #35707:** **Job Summary:** **1.0 FTE** **Examples… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… more
- City of La Mesa, CA (La Mesa, CA)
- Code Compliance Officer I/II Salary $5,092.53 - $ 7...This is the entry level class in the Code Compliance Officer series . This class is distinguished ... is the full journey level class within the Code Compliance Officer series . Employees within this class...- At least two years of increasingly responsible code compliance experience. License or Certificate: Possession of… more
- Aveanna Healthcare (Dover, DE)
- Home Health Occupational Therapy Assistant COTA Full Time 7 .5K Sign On Bonus ApplyRefer a FriendBack Job Details Requisition #: 205583 Location: Dover, DE 19905 ... $34.00 - $37.00 per hour Position Details Includes a $ 7 ,500 Sign on Bonus Position Overview Aveanna Healthcare has...has grown tremendously during the past year through a series of exciting acquisitions and we are currently looking… more
- Aegon Asset Management (Cedar Rapids, IA)
- …4+ years in a leadership role + FINRA Series 53 + Insurance license + Experience with FIS(R) Supervision Compliance Manager + Experience with National ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...pertains to the sale of such products + FINRA Series 7 , 24 & 66 + Excellent… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …of Compliance and/or regulatory experience within both RIA and broker-dealer business segments., + Series 7 , 24 (or 26), 63, 65 (or 66), Series 53 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report… more
- Ventura County (Ventura, CA)
- …to employees in this classification who possess and maintain a valid, current CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9/80 ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- Vanguard (Malvern, PA)
- …(eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7 , 14, 24 or 65, 66). (must obtain within 6 months if not ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- Raymond James Financial, Inc. (Southfield, MI)
- …related questions and concerns from the investment teams as well as internal support departments. * Series 7 , Series 65/66 & Series 24 Licenses required. ... and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred...grandfathering cannot be applied. * Required to have a Series 7 , 24 and 66 * … more
- First Horizon Bank (Knoxville, TN)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
- Wells Fargo (Davidson, NC)
- …leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10, and 63 examinations (or FINRA recognized ... Group branch, and manage the daily administration, operations, and compliance functions + Identify and recommend opportunities for growth...equivalents) sufficient to qualify for immediate FINRA registration. Series 24 is required if Series 9… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and 9 & 10 (or 8) required. + Series ... profitability while maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and… more
- Citigroup (San Antonio, TX)
- …process improvement initiatives. + Required Securities Licensure (depending on role select from the following): + Series 7 license ; and + Series 63 and ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to... 65 or Series 66; and + Series 8 or Series 9 and … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Professional ( Series 99) without passing the examination.)_ + _Ability to obtain Series 7 License or other FINRA Licenses (as required)._ **Education** ... management to identify and implement solutions. + Monitors regulatory compliance with internal and external groups including auditors, FINRA,...days (as required by FINRA),_ **required** + _(Persons holding Series 6, 7 , 17, 37 or 38… more
- Wells Fargo (St. Louis, MO)
- …training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 (or FINRA recognized equivalents) + FINRA ... while developing knowledge to understand function, policies, procedures, and compliance requirements + Participate in less complex initiatives and...may require for ongoing employment in this position. FINRA Series 7 and 63 or 7… more
- TD Bank (Cherry Hill, NJ)
- …or equivalent experience required + 7 + years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series ... metrics. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred or ... scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through...or grandfathering cannot be applied. o Required to have Series 7 , 24 and 63, Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred or ... 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
- The County of Los Angeles (Los Angeles, CA)
- …STANDARDS: This is the senior-/supervisory-level class in the Health Program Analyst Series . Positions allocable to this class are located in the department of ... small program. Factors affecting allocation of positions in the Health Program Analyst Series include but are not limited to scope and complexity of program/clinic,… more