- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Medicine 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
- Robert Half Finance & Accounting (Houston, TX)
- …essential. + Licensing: A valid FINRA Series 7 is required, and Series 24 license is preferred. + Analytical Skills: Proven ability to analyze complex ... Rule 206(4)- 7 (Investment Adviser Compliance Programs) is...FINRA Series 7 is required, and Series 24 license preferred. + Excellent written and… more
- PNC (Chicago, IL)
- …position is a vertical within the national footprint. License requirements: FINRA SIE and Series 7 , 63, & 79 or the ability to achieve these licenses within ... and market developments, deal flow and regulatory requirements. Maintains compliance with policies and regulations. Provides coaching to other...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and… more
- Veterans Affairs, Veterans Health Administration (Colorado Springs, CO)
- … license for rounding in government vehicle. Prior regulatory compliance experience. Prior performance improvement experience. Proficiency in Microsoft Office ... Summary The Registered Nurse Quality Management (QM) Consultant- Regulatory Compliance Coordinator is a full-time confidential consultant/program manager in the… 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
- Veterans Affairs, Veterans Health Administration (Shreveport, LA)
- Summary The Research Compliance Officer Registered Nurse (RN) is responsible for evaluating compliance with the regulatory guidelines that guide the conduct of ... The nurse's duties encompass four major areas of regulatory compliance relevant to the VA Research and Development Program...be carried into retirement) Licensure: 1 full and unrestricted license from any US State or territory Work Schedule:… more
- First Horizon Bank (Memphis, 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- Wells Fargo (Philadelphia, PA)
- …leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10, and 63 examinations (or FINRA recognized ... employee engagement and growth in a branch or a series of branches + Responsible for overall management of...all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more
- TIAA (Frisco, TX)
- …Bachelor's Degree Required **Work Experience:** No Experience Required **FINRA Registrations:** SRC Indicator: Series 7 ; Series 63; Series 65; ... 66 **Licenses and Certifications:** Life and Health Insurance License (Resident State) - Multiple Issuers required within 120...**Rotation 1: Licensing (3-4 months)** Associates will obtain their Series 7 , Series 66, and… more
- Veterans Affairs, Veterans Health Administration (Springfield, OH)
- …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 ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...A social worker who does not yet have a license that allows independent practice must be supervised by… more
- State of Massachusetts (Boston, MA)
- …$75,379.72 paid in bi-weekly amounts of approximately $2,899.22 *Grade 18, Step 7 * *I. HEATING, VENTILATION, AIR CONDITIONING AND REFRIGERATION (HVAC) MECHANIC ... SERIES :* Heating, Ventilation, Air Conditioning and Refrigeration (HVAC) Mechanic...and review performance through written and verbal reports for compliance with applicable laws, rules and regulations. *VIII. SUPERVISION… more
- Wells Fargo (Charlotte, NC)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 Series exam to qualify for immediate ... registration (or FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify for immediate… more
- Wells Fargo (Charlotte, NC)
- …demonstrated through work experience, military service, or education. + Successfully completed FINRA Series 7 Series exam to qualify for immediate ... to deliver training, education, and strategic support to advisors. + Ensure compliance with regulatory requirements and internal policies across all activities. +… more
- Wells Fargo (Charlotte, NC)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 Series exam to qualify for immediate ... markets requiring solid understanding of Premier Channel policies, procedures, and compliance requirements that influence and lead team to meet business objectives,… more
- Truist (Richmond, VA)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
- Veterans Affairs, Veterans Health Administration (Fresno, CA)
- …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 ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...A social worker who does not yet have a license that allows independent practice must be supervised by… more
- Raymond James Financial, Inc. (Denver, CO)
- …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