- Usaa (Tampa, FL)
- …model. Experience with Virtual Technology and ability to deliver training remotely. Current FINRA Series 7 and/or attainment within 90 days of job entry. Current ... measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: Bachelors degree...of job entry. What sets you apart: Current FINRA Series 7 . Current FINRA Series … more
- Charles Schwab (Atlanta, GA)
- …opportunity for you. What you have What You Have Required qualifications Active and valid Series 7 license Active and valid Series 66 (63/65) license ... collaborating with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If you're looking… more
- Usaa (Plano, TX)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: High School Diploma or… more
- Usaa (Plano, TX)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: High School Diploma or… more
- Usaa (Plano, TX)
- …through military service or a military spouse/domestic partner Current / Active FINRA Series 7 Current / Active Life/Health license CFP (Certified Financial ... channels. Works with Product Owners, Process Owners, Experience Owners, and Compliance stakeholders to evaluate products, advice, and solutions to develop and… more
- 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
- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 , 9 & 10 required. + Series 63, 65 ... of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and… more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...personality with the ability to maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4… more
- US Bank (Harrisburg, PA)
- …and FINRA regulations and direct involvement in related risk and compliance activities. + FINRA Series 6, 26 or 7 , 24 licensed or ability to do so within 120 ... Sales and Service team, including Fund Distribution, remain in compliance with all policies and procedures. This role will...limited to: + Collaborates with business line and enterprise Compliance and Risk teams on matters related to Client… more
- Insight Global (Kentwood, MI)
- …Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements - Series 7 license AND -either Series ... Job Description Insight Global is seeking a full time Compliance Specialist in Kentwood, MI. This individual will work... Series 24 licenses -3+ years in financial compliance role -customer focused attitude and ability to communicate… more
- T. Rowe Price (Owings Mills, MD)
- …of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 and Series 24 registrations, Series 24 may be ... matter to you . About this Position Reporting to the Broker/Dealer Chief Compliance Officer, the role is responsible for ensuring compliance programs including… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research...least three of the four following FINRA exams: SIE, Series 7 , Series 24 and ... candidate to help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key resource for the firm by assisting the… more
- Raymond James Financial, Inc. (New York, NY)
- …area required or the ability to obtain within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days of employment o ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...Series 9 and 10 can be used instead of… more
- PNC (Austin, TX)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance...Derivatives - SIE, Series 7 and 63 within 120 days… more
- Aegon Asset Management (Cedar Rapids, IA)
- …skills + Analytical and research skills + Proficiency using MS Office tools Preferred Qualifications + Series 7 & 24 or Series 6 & 26, as applicable + ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,… more
- Edward Jones (Tempe, AZ)
- …**Qualifications Required in the Job:** + Bachelor's degree or equivalent experience required + Series 7 license required that is currently active and held for a ... an exciting career opportunity waiting for you in our Compliance Service Department! The Compliance Service Department's...minimum of one year + Series 9, 10, 24, and 66 licenses are required… more
- Guardian Life (New York, NY)
- … compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7 ; 24 licenses required or obtained within 120 days. + A ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- GE Vernova (New York, NY)
- …capital raising. **Desired Characteristics** + Holds US securities industry licenses, such as SIE, Series 7 and Series 24. + Experience advising senior ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory ...coverage; access to Health Coach from GE Vernova, a 24/ 7 nurse-based resource; and access to the Employee Assistance… more
- PNC (Atlanta, GA)
- …Capital Markets organization, you will be based in Atlanta, GA. Requirements for licensing - SIE, Series 7 & 63, or able to obtain within 120 days of employment. ... 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
- Coinbase (Madison, WI)
- …*Nice to haves:* * Experience supporting a retail (fully disclosed) introducing broker. * JD, Series 7 , Series 24. * Experience working at FINRA. * Crypto ... requirements):* * 7 + years experience working in a retail broker-dealer compliance team. * Comfortable working in a fast-paced environment with high levels of… more
