- University of Colorado (Aurora, CO)
- …Family Medicine - Louisville Medical Director Open Rank -Senior Instructor Series - 34358 Faculty **Description** **University of Colorado Anschutz Medical Campus** ... Family Medicine - Louisville Medical Director** **Open Rank -Senior Instructor Series ** **Position #00825042 - Requisition #34358** **Job Summary:** **Examples of… more
- Insight Global (Tampa, FL)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such… more
- Randstad US (Charlotte, NC)
- series 7 - customer service specialist 2. + charlotte , north carolina + posted september 10, 2024 **job details** summary + $27 - $33 per hour + temporary + ... bachelor degree + category business and financial operations occupations + referenceAB_4605160 job details Are you...at least 2 years of experience with your ACTIVE Series 7 license. Series 7 is required!… more
- MTA (Brooklyn, NY)
- Staff Analyst Series - Occupational Health Services (OHS) Job ID: 5639 Business Unit: MABSTOA Location: Brooklyn, NY, United States Regular/Temporary: Regular ... Date Posted: Jun 6, 2024 Description Job Information: Title: Staff Analyst Series - Occupational Health Services (OHS) Opening Date: 05/01/2024 Closing Date: Open… more
- MTA (Brooklyn, NY)
- Staff Analyst Trainee Series - Occupational Health Services (OHS) Job ID: 7239 Business Unit: New York City Transit Location: Brooklyn, NY, United States ... Date Posted: Jun 6, 2024 Description Job Information: Title: Staff Analyst Series - Occupational Health Services (OHS) Opening Date: 05/01/2024 Closing Date: Open… more
- MTA (Brooklyn, NY)
- Ops Support, Safety - Transit Management Analyst Series Job ID: 8532 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: ... Description Job Information: Title: Ops Support, Safety - Transit Management Analyst Series First Date of Posting: 8/15/24 Last Date of Filing: 9/5/24 Authority:… more
- TXNM Energy (Albuquerque, NM)
- Engineer I, II, III & IV ( Series ) Location: Albuquerque, NM, United States Job ID: 6088105 Date Posted:Aug 6, 2024 **POSTING DEADLINE** This position is posted until ... cyber security training. Annual cyber security training is also required. Given the financial nature of this position, this position may be required to obtain a… more
- Transportation Security Administration (Springfield, VA)
- …each Deputy Assistant Administrator position: Deputy Assistant Administrator/Deputy Chief Financial Officer Deputy Assistant Administrator - Civil Rights and ... Administrator - Policy - Plans and Engagement Deputy Assistant Administrator - Compliance Requirements Conditions of Employment You must possess US Citizenship. You… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …through education and experience to manage and oversee the operation of all compliance functions covering the Financial Holding Company requirements that apply ... areas. Manages department, associates, and division of responsibilities within the Financial Holding Company ("FHC") Compliance department. Leads major projects,… more
- Bank of America (Chicago, IL)
- Global Financial Crimes Compliance (GFCC) Investigator - Brokerage Charlotte, North Carolina;Jersey City, New Jersey; New York, New York; Pennington, New Jersey; ... acting as the liaison to Law Enforcement as required. The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one… more
- Wells Fargo (Beaufort, SC)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... evaluation + Advise customers on various aspects of recommended and available financial options and services + Maintain deep knowledge and understanding of Wells… more
- T. Rowe Price (Owings Mills, MD)
- …Rowe Price Investment Services, Inc. ("TRPIS") in maintaining and enhancing it's respective compliance program as it relates to Brokerage. The Manager will also lead ... and support projects to improve compliance processes/programs. This will include influencing and guiding senior...Knowledge of MS Word, Excel, PowerPoint and Access + Series 7 -General Securities Representative (or ability to sit… more
- Nuveen Investments (Frisco, TX)
- …Experience:** + 3+ years of proven knowledge and experience with securities laws, regulatory compliance , risk management and risk controls. + Series 7 and ... This position reports to the VP, Compliance Officer who has oversight responsibilities for Nuveen...Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 24 **Physical Requirements** +… more
- Nuveen Investments (Frisco, TX)
- …Experience:** + 3+ years of proven knowledge and experience with securities laws, regulatory compliance , risk management and/or risk controls. + Series 7 and ... This role provides Compliance support to Nuveen Global Client Services, with...Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 24 **Physical Requirements** +… more
- Morgan Stanley (Sandy, UT)
- …to diversifying its workforce (M/F/Disability/Vet). keywords: sales, leadership, contact center, call center, financial services, Series 7, Series 9 / 10, ... Morgan Stanley is a leading global financial services firm providing a wide range of...relation issues * . Assists in regulatory, legal and compliance issues related to their team members which may… more
- US Bank (Charlotte, NC)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on...experience + Typically 3+ years of applicable experience + ** Series 7, Series 24, and Series… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all… more
- Bank of America (Chicago, IL)
- …to make a difference. Join us! **Job Description:** + The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one ... to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial ...Qualifications:** + Bachelor's Degree in related field + SIE, Series 3, Series 4, Series … more
- Huntington National Bank (Columbus, OH)
- …+ Knowledge of concepts, products, practices, and compliance functions for the financial services industry preferred. + Series 63, 65 or 66, 53, 4; ... Description Compliance Specialist Sr. - Branch Examiner Must be...management, the registered representative and/or branch staff. + Educate Financial Advisors and support staff on various industry rules,… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Proven experience in compliance , risk or a related field within the financial services industry. + Financial industry regulation such as FINRA Consolidated ... skills obtained through education and experience to manage and oversee the non- financial regulatory reporting function for Raymond James. The leader will regularly… more