- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 ... more
- 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 + ... more
- Charles Schwab (Westlake, TX)
- …risk management experience in multiple, large and complex businesses and have led cross-enterprise compliance programs. + Series 7 & 24, preferred. + ... more
- Citizens (Johnston, RI)
- …+ Minimum of 6 years of industry experience in compliance or supervision is required. + Series 7 , Series 66 (or Series 63 and Series 65) and ... more
- Charles Schwab (Westlake, TX)
- …Qualifications + Bachelor's degree or equivalent experience. + Professional licensing and/or compliance certifications (eg, FINRA Series 7 , 66, Investment ... more
- Truist (Richmond, VA)
- …+ 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 ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and 63 Licenses Required - Must be able to be ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …service organization. + SIE required provided that an exemption or grandfathering cannot be applied Series 7 and 63/65 or 66 Required - must be registered in all ... more
- TEKsystems (Fort Worth, TX)
- Role Responsibilities: MUST HAVE Series 6, and 63, (or equivalent) 65, and Life and Health certifications required for various levels Conduct three proactive ... more
- TIAA (Chicago, IL)
- … compliance , marketing compliance , and/or communication review experience + Series 7 and Series 24 securities registrations. **Preferred:** + ... 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 ... more
- University of Colorado (Aurora, CO)
- …Family Medicine Boulder Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... 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 ... more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... 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 ... more
- US Bank (Cincinnati, OH)
- …equivalent work experience - Typically more than six years of applicable experience Preferred Skills/Experience - Series 7 , Series 24, and Series 63 or ... 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 ... more
- JPMorgan Chase (Jersey City, NJ)
- …Trade Surveillance or other Compliance function + FINRA General Securities licenses such as Series 7 , Series 24, Series 9 or 10 considered ... more
- Amazon (Arlington, VA)
- …Auditing, Information Systems Management, Computer Science, Business, or other related fields. * 7 + years of experience in security or compliance consulting in ... more