- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance with regulatory requirements for employee licenses and registrations , following established procedures to perform various tasks, and serving as ... **Description** **_This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at one of our Saint Petersburg, FL, or… more
- Southern California Edison (Pomona, CA)
- **Join the Clean Energy Revolution** Become a Labor Relations, Sr Advisor at Southern California Edison (SCE) and build a better tomorrow. In this role you will ... agreements. In addition to contract negotiations, the Labor Relations, Senior Advisor provides counsel and guidance on complex and sensitive labor relations… more
- Janus Henderson Investors (Denver, CO)
- …requirements + Experience marketing ETFs highly preferred + Understanding of compliance requirements for the advisor marketplace + Intermediary experience ... What to expect when you join our firm + Hybrid working and reasonable accommodations + Generous Holiday policies...subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee's… more
- Atria Wealth Solutions (Riverside, CA)
- …CUSO Financial Services, LP (CFS) is helping in their search for a Financial Advisor via this posting on our website. Wescom Financial Services, LLC is seeking a ... Financial Advisor in the Riverside CA area. We value and...Must stay current on WFS written supervisory procedures and compliance memos. + Required to work closely with RMSR's/… more
- SMBC (New York, NY)
- …its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the ... compliance program for an investment advisory firm in Manhattan,...the preparation and ongoing maintenance of all applicable regulatory registrations and filings (eg filing of Form ADV, etc.).… more
- Equitable (Melville, NY)
- …gathering information from financial advisors. + Will conduct annual financial advisor compliance interviews/audits, including inspection of business practices ... **Qualifications** **Required Qualifications** + Minimum of 1-3 years in Compliance Role + FINRA Series 7, 66 registrations … more
- Emerson (St. Louis, MO)
- …Operations and 3rd party vendors on complex tax issues and tax jurisdiction registrations /de- registrations + HR support on 401k, W4 and W2 topics including ... for payroll system in partnership with IT to ensure compliance with tax legislation + Facilitate root cause analysis...employees; liaison with AP on annual 1099 activities + Advisor on payroll taxation for creation/maintenance of deduction and… more
- Merck (Millsboro, DE)
- …at our company's Millsboro Animal Health facilities. This role is highly compliance -driven in accordance with State and Federal regulations as applicable to the ... + Establish and maintain departmental policies and procedures. Ensure compliance with governmental regulations, and corporate/site policies including safety and… more
- Ascendis Pharma (Princeton, NJ)
- …Operations plays a critical role in driving operational excellence, compliance , and financial performance through effective management of contracting operations. ... This is a hybrid role that will be based in Princeton, NJ...from negotiation and execution to renewal and termination. Ensure compliance with company policies, regulatory requirements, and contractual obligations.… more
- Global Communities (Silver Spring, MD)
- …and branch offices worldwide; and manages oversight of various legal, compliance , and ethical operational interests as described below. **Responsibilities** Provides ... related to the bylaws. + Leads domestic and international branch office registrations . Ensures timely filing of annual report to maintain the organization's domestic… more
- Corewell Health (Royal Oak, MI)
- …by Government mandates. Scan appropriate documents. Manage all responsibilities within Compliance guidelines as outlined in the Hospital and Department Compliance ... EPIC tools. Provide information for follow up and referral to the Financial Advisor as appropriate. Initiate payment plans and obtain payment, Informs and explains… more