- Truist (Winston Salem, NC)
- …or equivalent education and related training. + FINRA Series 4, 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53, Series 63 & 65 can ... Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. +… more
- City of Missoula, MT (Missoula, MT)
- Engineer Series Print (https://www.governmentjobs.com/careers/missoulacity/jobs/newprint/4717886) Apply Engineer Series Salary Depends on Qualifications ... Department. Under the mentorship of experienced professionals, you will ensure compliance with City, State, and Federal standards while collaborating on innovative… more
- Wells Fargo (Newark, DE)
- …Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9 /10 to qualify for immediate registration (or FINRA recognized ... required for ongoing employment in this position. + FINRA Series 9 /10 and 65 or 66 examinations...9 & 10. Please disregard this requirement._** + Compliance with state law registration and licensing requirements is… more
- MetroLink (Los Angeles, CA)
- …immediately. DISTINGUSUING CHARATCHERICS This is the senior level of the Contract & Compliance Administrator series . At this level, work may be performed under ... Senior Contract & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/4642379) Apply Senior Contract...the SDI program. The contribution rate for 2023 is 0. 9 percent of earnings. The SDI taxable wage limit… more
- Internal Revenue Service (Austin, TX)
- …will be filled in the following specialty areas: Return Integrity and Compliance Services | Refundable Credits Examination Operation. The following are the duties ... technical support and training as a coordinator of programs between compliance and other departments within the Internal Revenue Service. Requirements Conditions… more
- Ventura County (Ventura, CA)
- …Biweekly DISTINGUISHING CHARACTERISTICS: Each successive level in the Finance Analyst series is distinguished by scope of independence and responsibility. The level ... of the position within the series is commensurate with the complexity of the assigned...Evaluates and reviews accounting policies and reporting systems for compliance with regulations and reporting requirements; and + Performs… more
- Internal Revenue Service (Philadelphia, PA)
- …and you currently hold, or have previously held, a position in the same job series with the IRS, there is no need to submit a transcript or equivalent at ... to submit an SF-50 documenting experience in a specific series . A college or university degree generally must be...be amended to include additional cut-off dates within the 9 month period if needed, not later than 10… more
- Wells Fargo (El Dorado Hills, CA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent… more
- Bank of America (Pasadena, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Citigroup (San Antonio, TX)
- … 7 license; and + Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education** **:** ... a diverse group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Qualifications** + Relevant 6-10… more
- Bank of America (Grand Rapids, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Miamisburg, OH)
- …to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... clients to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Key Qualifications for… more
- Bank of America (Bala Cynwyd, PA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Bank of America (Miami, FL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Pepper Pike, OH)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Bank of America (Dearborn, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- HSBC (San Francisco, CA)
- …of 7-10 years proven Private Banking supervisory or related investment supervisory experience required + SIE, Series 7, Series 9 , Series 10, Series ... and with various WPB Wealth teams to ensure proper compliance to industry regulations. The role is intended to...Series 66 (or Series 63 and Series 65) + Experience supervising Registered Investment Advisors, and… more
- Wells Fargo (San Diego County, CA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Strong ... grow the branch + Identify and recommend opportunities for compliance , regulatory, and administrative issues relating to the branch...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent… more
- HSBC (New York, NY)
- …of 7-10 years proven Private Banking supervisory or related investment supervisory experience requiredSIE, Series 7, Series 9 , Series 10, Series ... and with various WPB Wealth teams to ensure proper compliance to industry regulations. The role is intended to...Series 66 (or Series 63 and Series 65) + Experience supervising Registered Investment Advisors, and… more
- Bank of America (San Jose, CA)
- …timeframe: Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... (MSM) role. This job is responsible for a wide variety of delegated compliance , administrative and business functions related to the Merrill Wealth Management Market… more