- Edward Jones (St. Louis, MO)
- …primary responsibilities will include a focus on maintaining our continually evolving compliance program in the Workplace Segment with a growth and adaptability ... more
- M&T Bank (Boston, MA)
- …significant experience in broker dealer compliance . + Possess, or be willing to obtain, Series 14 (or 7 & 24, 63) licenses within 6 months of hire. + Proficiency ... more
- Edward Jones (St. Louis, MO)
- …Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 ... more
- Ventura County (Ventura, CA)
- …CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9 /80 workweek) may be available for some positions. + Telework Schedule - A remote ... more
- Raymond James Financial, Inc. (Indianapolis, IN)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... more
- M&T Bank (Clanton, AL)
- …analysis and judgment-based work to support the identification and quantification of compliance risk. Utilize a data driven approach to assess the effectiveness of ... more
- Bank of America (San Diego, 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 ... more
- Bank of America (Albuquerque, NM)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... more
- Bank of America (Ontario, 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 ... more
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... more
- Wells Fargo (Davidson, NC)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Currently ... more
- Raymond James Financial, Inc. (The Villages, FL)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... more
- Bank of America (Fort Worth, TX)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... more
- Bank of America (Charlotte, NC)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... more
- Wells Fargo (Mclean, VA)
- …to transfer upon hire. Persons who have FINRA Series 24 must successfully complete series registration for FINRA Series 9 and 10 within 120 days of ... more
- Bank of America (Washington, DC)
- …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 ... 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:** + ... more
- Citigroup (Tampa, FL)
- …projects from ideation through testing and implementation. + Required Licensing/Registration: Series 4, Series 7, Series 9 , Series 10, Series ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + Required to have a Series 7, 9 , 10 and 63 + Series 24, 53 and 4 can be ... more
- Veterans Affairs, Veterans Health Administration (Togus, ME)
- …(A/E) and Construction contracts to ensure the contractor is in compliance with all contractual requirements, healthcare regulations and codes, specifications and ... more