- First Horizon Bank (Memphis, TN)
- …or Business + Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit + Series 7 and 63 licenses required + ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance ...unlock their full potential with capital and counsel. With $81. 7 billion in assets as of December 31, 2023,… more
- Guardian Life (Bethlehem, PA)
- …equivalent work experience + At least 2 years of experience in Financial Services in a supervisory or compliance capacity + Series 7 + Series 65 or 66 + ... certain delegated supervisory functions in a home office setting to ensure compliance and regulatory requirements are achieved. The Registered Principal, SaBR will… more
- Equitable (Minneapolis, MN)
- …\#LI-ANCHOR **Qualifications** **Required Experience:** + Bachelors degree + 1 Years experience in Compliance roles + FINRA Series 7 , 65 or 66 ... your potential? **The Minneapolis Branch location is seeking an experienced Compliance Supervisor, this position is required to be onsite.** **Job… more
- Truist (Winston Salem, NC)
- …+ Master's degree in finance or business, or equivalent education and related training. + FINRA Series 4, 7 , 24, 53, and 66 licenses ( Series 9 &10 can ... Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. +… more
- 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 ... documentation of outcomes + Demonstrate expert knowledge of and compliance with internal and regulatory policies, procedures and processes...skills are required to be a** **Corporate FSA?** + Series 7and66 Required + 2+ years' experience in a… more
- Raymond James Financial, Inc. (Memphis, TN)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 License required. 63 preferred, or ability to obtain within 120 ... level. * Communicates and coordinates with Registrations, Sales Management and Compliance Departments to monitor cases. * Reviews, maintains and documents weekly… more
- TIAA (Dallas, TX)
- … compliance , marketing compliance , and/or communication review experience + Series 7 and Series 24 securities registrations. **Preferred:** + ... Serve as a member of the Enterprise Communications Compliance ("ECC") team that provides advice and guidance...of marketing materials. In addition, the role will provide Compliance thought leadership and solutions on approach to new… 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
- University of Colorado (Aurora, CO)
- …Family Medicine Boulder Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... **UCHealth Family Medicine - Boulder Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00824080- Requisition #: 33994** **Job Summary:** **.50 to .75… more
- University of Colorado (Aurora, CO)
- …for Dependency, Addiction, and Rehabilitation (CeDAR) (Open Rank Professor Series )** **Description** **University of Colorado Anschutz Medical Campus** **School of ... Dependency, Addiction, and Rehabilitation** **(CeDAR)** **_(_** **Open Rank - Professor Series )** **Position #00826737 - Requisition #34694** **This position may be… more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a… 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 ... and state rules and insurance regulations. * Monitor and maintain various compliance surveillance repo **T** rts. * Conduct Financial Professionals' compliance … more
- Nuveen Investments (Frisco, TX)
- …with securities laws, regulatory compliance , risk management and/or risk controls. + Series 7 and Series 24 securities registrations required or must ... This role provides Compliance support to Nuveen Global Client Services, with...Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 24 **Physical… more
- Vanguard (Malvern, PA)
- …(eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7 , 24 or 65, 66). (must obtain within 6 months if not ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- 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 Juris ... + Bachelor's degree or military experience + At least 7 years of experience working in compliance ,...a regulator overseeing broker dealers or investment adviser + Series 24 or 9/10 At this time, Capital One… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research...least three of the four following FINRA exams: SIE, Series 7 , Series 24 and ... candidate to help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key resource for the firm by assisting the… more
- Amazon (Seattle, WA)
- …Auditing, Information Systems Management, Computer Science, Business, or other related fields. * 7 + years of experience in security or compliance consulting in ... Description As part of the Santos Supply Chain Security, Compliance , Privacy and Trust team, you will build the bridges between security, technology, operations, and… more
- PNC (Madison, NY)
- …desk and public finance partners. Licensing requirements: Finra SIE, Series 52 and 63 (or Series 7 , if taken prior to 11/ 7 /2011, is acceptable in lieu of ... and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment.… more
- PNC (Madison, NY)
- …desk and public finance partners. Licensing requirements: Finra SIE, Series 52 and 63 (or Series 7 , if taken prior to 11/ 7 /2011, is acceptable in lieu of ... and market developments, deal flow and regulatory requirements. Maintains compliance with policies and regulations. Provides coaching to other...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and… more
- Principal Financial Group (Des Moines, IA)
- …or equivalent experience required. + FINRA licensing is required including the SIE or equivalent, series 7 and series 24. + 2+ years related work experience ... **What You'll Do** As a Compliance Analyst within Principal Asset Management you'll support...Funds. This person will primarily support the private funds compliance program with both broker dealer and investment adviser… more