- 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
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. We are currently seeking an Investment Compliance Officer within the Market, Liquidity, Wealth Risk & Compliance Team. ... Capital Markets and Public Finance groups. Responsibilities: A Risk & Compliance Officer within MLW provides leadership, analytical skills, and innovative thinking… 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
- Citigroup (Fort Lauderdale, FL)
- … Series 7 license; and Series 63 and Series 65 or Series 66; and Series 8 or Series 9 and Series 10 or Series 24 and Series ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (San Antonio, TX)
- …Series 7 license; and + Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24, 4 and 53 ... 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 (Davenport, IA)
- …+ 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 (Los Angeles, 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
- Bank of America (Frisco, 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 ... 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 (Florham Park, NJ)
- …+ 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 (Northbrook, IL)
- …+ 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 (Atlanta, GA)
- …+ 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 (Miami, FL)
- …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
- 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
- Bank of America (Memphis, TN)
- …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
- Morgan Stanley (Sandy, UT)
- …and Registrations: o Active Series 7 o Series 66 (or 63 and 65) o Series 9 / 10 or the ability to obtain following the Morgan Stanley Licensing policy * ... relation issues * . Assists in regulatory, legal and compliance issues related to their team members which may...keywords: sales, leadership, contact center, call center, financial services, Series 7, Series 9 /… more
- Bank of America (Chicago, IL)
- …**required** to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent ... to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Managerial Responsibilities:**… more
- City of West Sacramento (West Sacramento, CA)
- …state laws, codes, City ordinances, and established standards to achieve compliance with applicable fire, life safety, disabled access, electrical, mechanical, ... The Building Inspector II is the experienced, journey level class in the series , full competent to independently perform assigned duties. This class is distinguished… more
- Morgan Stanley (Pepper Pike, OH)
- …* Four-year college degree required or equivalent education * Previous industry experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... Oversee various administrative efforts in the branch * Ensure compliance with Firm policies and procedures by overseeing the...and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)… more