- Raymond James Financial, Inc. (Memphis, TN)
- …(FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10_SU - Gen Sec Sales Supervisor - Financial ... for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy… more
- Veterans Affairs, Veterans Health Administration (Milwaukee, WI)
- …facility policies and procedures, including the Code of Conduct and Corporate Compliance Program. Provide safe and therapeutic care using the ICARE values inherent ... license from any US State or territory Work Schedule: 0. 9 FTE/72 hours per pay period (6-12 hour shifts)...- All persons currently employed in VHA in 0610 series and performing the duties as described in the… more
- Lockheed Martin (San Diego, CA)
- …experience; experience working with other MIL\-SPEC and COTS equipment/systems\. Familiarity and compliance with the Navy PMS \(OPNAVINST 4790\.4 series in ... Award\-Winning Place to Work **WHO YOU ARE** This position is an Baseline 9 Computer Technician and the candidate must have previous experience\. This position will… more
- MetroLink (Los Angeles, CA)
- …CHARACTERISTICS Compliance Officer I: This is the entry level in the Compliance Officer series . At this level, assignments are generally limited in scope ... II: This is the career level of the Operations Compliance Officer series . At this level, the...of the month following hire date or qualifying event. 9 /80 ALTERNATIVE WORK SCHEDULE: SCRRA offers a 9… more
- Aegon Asset Management (Cedar Rapids, IA)
- Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We ... an integrated, diversified, international financial services group serving approximately 23. 9 million customers worldwide. * For more information, visit… more
- Access Dubuque (Dubuque, IA)
- Director of Compliance **University of Wisconsin-Platteville** 1 Positions ID: 66663 Posted On 04/22/2025 **Job Overview** **Position Summary:** University of ... Wisconsin-Platteville is seeking a **Director of Compliance ** . The **Director of Compliance...seeks diversification of the student body, faculty and staff. 9 . Serve as an educational, cultural and economic development… more
- Edward Jones (St. Louis, MO)
- …Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 ... Trust Company's business, we encourage you to apply. The Compliance Department Leader will lead a team of associates...requirements with the firm's business goals and objectives. + Series 7, 24 and 66 are required within 6… more
- M&T Bank (Boston, MA)
- …significant experience in broker dealer compliance . + Possess, or be willing to obtain, Series 14 (or 7 & 24, 63) licenses within 6 months of hire. + Proficiency ... Responsible for contributing to and supporting the broker dealer compliance program for M&T Securities, Inc. Will help develop,...or in lieu of degree a combined minimum of 9 years higher education and/or work experience including 5… more
- State of Colorado (Denver, CO)
- Nurse Consultant, Health Compliance Inspector Acute Care Services - FAA00418 Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4906287) Apply ... Nurse Consultant, Health Compliance Inspector Acute Care Services - FAA00418 Salary $98,448.00...of your unofficial transcripts to your application. Experience: Nine ( 9 ) years of professional nursing experience in a critical… more
- Food Safety and Inspection Service (Melrose, MN)
- …information systems, reports, and analytical tools to oversee an establishment's compliance with HACCP and other regulatory requirements. Assists and reviews ... interdisciplinary position and may be filled in either of the job series /position titles listed. In addition to the specialized experience requirements, applicants… more
- Ventura County (Ventura, CA)
- …CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9 /80 workweek) may be available for some positions. + Telework Schedule - A remote ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- Wells Fargo (Naperville, IL)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent… more
- Bank of America (San Diego, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... our International Clients and/or our International Financial Advisors to ensure full compliance with laws, and policies specific to the countries where the Client… more
- Citigroup (San Antonio, TX)
- … 7 license; and + Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education** **:** ... a diverse group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Qualifications** + Relevant 6-10… more
- Bank of America (Los Angeles, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Farmington Hills, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... book of business. * May be responsible for ensuring compliance with firm and regulatory policies and procedures including...Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10… more
- Raymond James Financial, Inc. (The Villages, FL)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... branch office of Raymond James and Associates. Manages the compliance oversight, ensuring adherence to firm and regulatory policies...that an exemption or grandfathering cannot be applied. * Series 7 and 9 & 10 (or… more
- Wells Fargo (Savannah, GA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Bank of America (Atlanta, GA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more