- Bank of America (New York, NY)
- Corporate Financial Solutions Advisor (CFSA) - Series 7 and 66 REQUIRED (Evergreen) New York, New York;Atlanta, Georgia **Job Description:** **What is my role as ... a Corporate Financial Solutions Advisor?**...documentation of outcomes + Demonstrate expert knowledge of and compliance with internal and regulatory policies, procedures and processes… more
- University of Colorado (Aurora, CO)
- …Family Medicine Louisville Medical Director Open Rank -Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** ... Family Medicine - Louisville Medical Director** **Open Rank -Senior Instructor Series ** **Position #00825042 - Requisition #34358** **Job Summary:** **Examples of… more
- Truist (Winston Salem, NC)
- …leadership, while maintaining a focus on mitigating risk for the firm from financial , reputation and regulatory items. Ensure that the advisors and teams, OSJs ... Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. +… 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
- TXNM Energy (Albuquerque, NM)
- Engineer I, II, III & IV ( Series ) Location: Albuquerque, NM, United States Job ID: 6088105 Date Posted:Nov 5, 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
- Raymond James Financial, Inc. (Memphis, TN)
- …level. * Communicates and coordinates with Registrations, Sales Management and Compliance Departments to monitor cases. * Reviews, maintains and documents weekly ... or equivalent and three (3) years experience in the financial services industry, preferably including related service experience. *...that an exemption or grandfathering cannot be applied. * Series 7 License required. 63 preferred, or ability to… more
- Equitable (Columbia, MD)
- …**Required Qualifications** + Bachelors degree + Minimum 3 years in financial services or compliance role + FINRA Series 7, 24, 63/65 or 66 + Knowledge of ... FINRA and state rules and insurance regulations. * Monitor and maintain various compliance surveillance repo **T** rts. * Conduct Financial Professionals' … 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 (Jacksonville, FL)
- Global Financial Crimes Compliance (GFCC) Investigator - Brokerage Charlotte, North Carolina;New York, New York; Hunt Valley, Maryland; 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 (San Diego County, CA)
- …education + 3+ years of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… 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
- Guardian Life (Bethlehem, PA)
- …work experience + At least 2 years of experience in Financial Services in a supervisory or compliance capacity + Series 7 + Series 65 or 66 + Series ... certain delegated supervisory functions in a home office setting to ensure compliance and regulatory requirements are achieved. The Registered Principal, SaBR will… more
- Bank of America (Jacksonville, FL)
- …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
- 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
- M&T Bank (Schenectady, NY)
- …current and potential customers under guidance and direction of more experienced Financial Advisors. Based on these analyses, profiles, assesses, and closes sales ... + Based on an individualized needs analysis, prepare recommendations for customized financial solutions to current and potential Bank customers, and including a… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** As a Sr. Associate Business Management - Financial Planning, support key process improvement and growth initiatives within Financial Planning ... in an effort to increase market opportunities and support sales in the Financial Planning and Retirement Plan businesses. Educate advisors on available tools and… more
- TIAA (Dallas, TX)
- …**Required:** + 1-3 years of marketing review, advertising compliance , marketing compliance , and/or communication review experience + Series 7 and Series ... Serve as a member of the Enterprise Communications Compliance ("ECC") team that provides advice and guidance regarding the applicability of regulatory requirements,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm. * Establishes internal or external ... practices and procedures used in the securities industry * Financial markets and products **Skill in** * Interpreting and...that an exemption or grandfathering cannot be applied. * Series 99, or ability to obtain within 120 days… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 15 research ... trends that lead to faster and better strategic and financial decisions. Cleveland Research Company is a truly independent...help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key… more
- Capital One (New York, NY)
- …degree or military experience + At least 7 years of experience working in compliance , legal, audit, operations or finance within financial services OR at least ... dealers or investment advisers + FINRA licensed with valid Series 7 or 79 **Preferred Qualifications** + Master's degree...Juris Doctor + 8+ years of experience working in compliance , legal, audit, operations or finance within financial… more