- Capital One (New York, NY)
- …a regulator overseeing broker dealers or investment advisers + FINRA licensed with valid Series 7 or 79 **Preferred Qualifications** + Master's degree or ... + Bachelor's degree or military experience + At least 7 years of experience working in compliance , legal,...Juris Doctor + 8+ years of experience working… more
- SMBC (New York, NY)
- …but not required. + Required Job Skills + Candidates must pass (a) Series 65, (b) Series 66 and Series 7 combined, or (c) possess one of the following ... Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all...and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan,… more
- Scotiabank (New York, NY)
- …Post graduate degree ( JD or MBA) a plus but not required. + FINRA Series 7 required. Series 24 or 57 preferred. **Interested?** If your experience ... work environment. **What You'll Bring** + A minimum of 5- 7 years of compliance experience, including experience providing advisory support to a broker-dealer… more
- Principal Financial Group (Des Moines, IA)
- …debt, and/or alternative lending. + FINRA licensing is required including the SIE or equivalent, series 7 and series 24. + Excellent written and verbal ... **What You'll Do** As a Director of Compliance in Principal Asset Management you'll support Private...You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years related work… more
- Principal Financial Group (Des Moines, IA)
- …debt, and/or alternative lending. + FINRA licensing is required including the SIE or equivalent, series 7 and series 24. If not already licensed, must obtain ... **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private...You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years related work… more
- Ford Motor Company (Dearborn, MI)
- …and analyze current and historical quality data using Ford quality databases ( JD Powers, NPS, Datacubes) to identify design, process, supplier quality, and product ... met utilizing customer data sources such as NPS & JD Power IQS/VDS/APPEAL. + Support Program AAF's, VPAT's, CPE...met using Teamcenter & TCVis Mockup. + Drive program compliance on Interior CTQ requirements and other HIR's using… more
- City National Bank (Las Vegas, NV)
- …of investment related experience + Minimum 3 years experience in investment sales + FINRA Series 7 and 63 and 65 or 66 + California Insurance License **Skills ... review materials at client meetings. + Risk Management and Compliance + Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. + FINRA Series 7 and 63 securities licenses and… more
- Truist (Charleston, SC)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- Truist (Greenwich, CT)
- …essential functions. + Bachelor's Degree Required + FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics + CFP preferred or CTFA, CFA, CPA, JD or MBA + Completion or enrollment in certification… more
- Federal Aviation Administration (Duty, AR)
- …https://www.opm.gov/policy-data-oversight/classification-qualifications/general-schedule-qualification-standards/0000/environmental-protection-specialist- series ... may be announced for FV-G through K or grades FG- 7 through 15 to support the Infrastructure Investment and...the Infrastructure Investment and Jobs Act 2021. Responsibilities This series includes positions the duties of which involve: (1)… more
- Scotiabank (New York, NY)
- …international equivalent. JD desired but not required + Securities licenses, eg, Series 7 preferred, but not required + Strong computer skills ie Microsoft ... critical element of the Global Control Room and US Compliance teams providing coverage to the Corporate & Investment...develop their skills as a member of the US Compliance team. This role will encompass key elements of… more
- Bank of America (Pennington, NJ)
- …and Technology to address ad hoc issues from advisors and clients. **Desired Skills:** + JD degree + Series 7 and 66 (must be obtained within 120 ... members and across the Merrill organization to tackle legal, compliance and regulatory issues as part of any strategic...Addressing ad hoc requests and issues relating to Legal, Compliance , Risk & Audit inquiries and partnering with Operations… more
- JPMorgan Chase (Miami, FL)
- …Compliance functions to ensure best practices **Required qualifications, capabilities, and skills:** + Series 7 , 9, 10, 66 and SIE licenses required + A ... Excel **Preferred qualifications, capabilities, and skills:** + Bachelor's degree required; MBA, JD or CFA or other professional designation strongly preferred. + … more
- Truist (Greenville, SC)
- …essential functions. * Bachelor's Degree required * FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight Preferred Qualifications: * MBA, JD , CPA, CFA or CFP * 5 years of… more
- Truist (Houston, TX)
- …perform the essential functions. + Bachelor's Degree + FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66 and 24 the Securities Industry ... legal, operating, and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight **Preferred Qualifications:** + MBA, JD , CPA, CFA or CFP + 5 years of… more
- NYS Housing Trust Fund Corporation (New York, NY)
- …and implementing strategic planning for GOSR and ensure organizational compliance with national objectives and fulfillment of mission- coordinating closely ... with the Policy and Monitoring and Compliance Departments, especially. + collecting, collating, and utilizing programmatic/...operations. + Manage the design and development of a series of performance management dashboards. + Work with the… more
- Air National Guard Units (Kingsley Field, OR)
- …with the financial management enterprise to facilitate best practices and compliance assurance. (15%) 5. Analyzes and measures the effectiveness and efficiency ... of financial operations; reliability of financial reporting; compliance with policies, regulations, applicable laws and guidance; and ensures that internal controls… more
- US Air Force - Agency Wide (Pope AFB, NC)
- …Inspects and/or checks the airfield for flying safety hazards to include compliance with airfield criteria, aircraft foreign object damage and bird aircraft strike ... Conditions of Employment Continued: This is a Key position IAW DoD Directive 1200. 7 . The incumbent must be removed from military status if alternatives for filling… more
- SAIC (Offutt AFB, NE)
- …more experience; Masters and seven ( 7 ) years or more experience ; PhD or JD and four (4) years or more experience. Clearance required to start: Top Secret/SCI or ... DoE Q Must be a US citizen required certification compliance : Three-year' experience working with the DOD cybersecurity major driving policies- DoD 8510.01 (RMF),… more
- Bureau of Ocean Energy Management (Washington, DC)
- …the Federal Register. 4. Supports implementation of BOEM procedures which ensure compliance with the PRA and provides ongoing and ad-hoc recommendations to ... the planning and preparation of the BOEM regulatory agenda. 7 . Supports the publication of BOEM materials in the...meet the Specialized Experience and/or Education requirements for the series to which you are applying. 1. Specialized Experience… more