- M&T Bank (Boston, MA)
- …financial services industry experience with significant experience in senior level roles in broker dealer compliance . + FINRA Series 7 , 63, 79, and (24 or ... **Overview:** Lead and manage the broker-dealer compliance team. Responsible for ensuring the broker dealer...team. Responsible for ensuring the broker dealer operates in compliance with all relevant laws, regulations, and internal policies.… more
- Randstad US (Charlotte, NC)
- series 7 - customer service specialist 2. + charlotte , north carolina + posted september 10, 2024 **job details** summary + $27 - $33 per hour + temporary + ... at least 2 years of experience with your ACTIVE Series 7 license. Series ...judgment while developing understanding of function, policies, procedures, and compliance requirements. + Provide information to client personnel in… more
- University of Colorado (Aurora, CO)
- …Family Medicine - Louisville Medical Director Open Rank -Senior Instructor Series - 34358 Faculty **Description** **University of Colorado Anschutz Medical Campus** ... Family Medicine - Louisville Medical Director** **Open Rank -Senior Instructor Series ** **Position #00825042 - Requisition #34358** **Job Summary:** **Examples of… 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
- University of Colorado (Aurora, CO)
- …UCHealth Family Medicine - Boulder Clinic Open Rank - Senior Instructor Series - 33994 Faculty **Description** **University of Colorado Anschutz Medical Campus** ... **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)
- OPEN RANK (Instructor Series / Professor Series ) Tele Psych Psychiatrist - 22147 Faculty **Description** **University of Colorado - School of Medicine** **OPEN ... of Psychiatry, Adult/ Community, Population, and Public Division Psychiatrist (Instructor Series / Professor Series ) Tele Psych Psychiatrist** The University of… more
- University of Colorado (Aurora, CO)
- …for Dependency, Addiction, and Rehabilitation (CeDAR) (Open Rank - Professor Series ) - 34694 Faculty **Description** **University of Colorado Anschutz Medical ... Dependency, Addiction, and Rehabilitation** **(CeDAR)** **_(_** **Open Rank - Professor Series )** **Position #00826737 - Requisition #34694** **This position may be… more
- University of Colorado (Aurora, CO)
- Family Physician - Centennial Clinic Open Rank - Senior Instructor Series - 31694 Faculty **Description** **University of Colorado | CU Anschutz Medical Campus** ... **Family Physician - Centennial Clinic** **Open Rank - Senior Instructor Series ** **Position #** **00817309** **Requisition #31694** **Job Summary:** **This position… more
- Nuveen Investments (Frisco, TX)
- …with securities laws, regulatory compliance , risk management and risk controls. + Series 7 and Series 24 securities registrations required or must ... This position reports to the VP, Compliance Officer who has oversight responsibilities for Nuveen...Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 24 **Physical… 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
- T. Rowe Price (Owings Mills, MD)
- …and problem solving skills + Knowledge of MS Word, Excel, PowerPoint and Access + Series 7 -General Securities Representative (or ability to sit for and pass ... Services, Inc. ("TRPIS") in maintaining and enhancing it's respective compliance program as it relates to Brokerage. The Manager...pass this exam) - if not covered by current Series 7 + Series 53… 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
- Aegon Asset Management (Denver, CO)
- …+ Analytical and research skills. + Proficiency using MS Office tools. Preferred Qualifications: + Series 7 & 24, or able to obtain within 90 days. + Ability ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...companies employ over 2 1,500 people and have approximately 31. 7 million customers . * For more information, visit… 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
- Huntington National Bank (Columbus, OH)
- Description Compliance Specialist Sr. - Branch Examiner Must be...FINRA regulations. Branch examination is a plus. + FINRA Series 7 is required. + FINRA ... 50%) outside of the home office location. The HFA Compliance Specialist, Sr. will be part of the 2nd... functions for the financial services industry preferred. + Series 63, 65 or 66, 53, 4; Life and… more
- US Bank (Charlotte, NC)
- …+ Bachelor's degree, or equivalent work experience + Typically 3+ years of applicable experience + ** Series 7 , Series 24, and Series 63 or 66 required. ... **Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function,… 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
- Citizens (Tarrytown, NY)
- …organization. + Strong research skills required. Education/ Series : + Bachelor's degree Required. + Series 7 & 24 + Law Degree optional Hours & Work Schedule ... Description The Compliance Team Lead will have responsibilities within the compliance program for the Citizens Private Wealth segment of Citizens Wealth… more
- Wells Fargo (St. Louis, MO)
- …applications, including Excel, Outlook, Sharepoint, and Adobe Acrobat. + FINRA Registration including Series 7 and 66 (or 63 and 65), FINRA recognized ... **About this role:** Wells Fargo is seeking a Compliance Specialist who will conduct surveillance and oversight...available for transfer upon hire + FINRA Registration including Series 9/10 or 24, FINRA recognized equivalents or willingness… more
- Citizens (Johnston, RI)
- …+ Strong research skills required. Education/ Series : + Bachelor's degree Required. + Series 7 & 24 required Hours & Work Schedule Hours per Week: ... beyond your role, and make an impact! As the Compliance Team Lead- Advertising & Marketing, you will play...an integral role in the strategy and implementation of Compliance management throughout Wealth Management. While in this role,… more