- Equitable (Melville, NY)
- …**Qualifications** **Required Qualifications** + Minimum of 1-3 years in Compliance Role + FINRA Series 7 , ... Branch Compliance Manager (Willing to Obtain Series 24) ( 240000JO ) **Primary Location** : UNITED STATES-NY-Melville **Organization** : Equitable **Schedule** :… 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 + ... **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
- 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
- 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
- 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)
- **OPEN RANK (Instructor Series / Professor Series ) Tele Psych Psychiatrist** OPEN RANK (Instructor Series / Professor Series ) Tele Psych Psychiatrist - ... 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)
- …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
- University of Colorado (Aurora, CO)
- **Family Physician Centennial Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado | CU Anschutz Medical Campus** **School of ... **Family Physician - Centennial Clinic** **Open Rank - Senior Instructor Series ** **Position #** **00817309** **Requisition #31694** **Job Summary:** **This position… 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
- 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
- Citizens (Johnston, RI)
- …securities sales, sales supervision, operations, or compliance + Minimum FINRA Active Licensures of Series 7 ; Series 63; and either Series 24 OR ... The incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting. +...or GED Preferred Qualifications: + Completed Bachelor's Degree + Series 65 or Series 66 + Experience… more
- US Bank (Minneapolis, MN)
- …+ 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
- 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
- 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
- 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
- T. Rowe Price (Owings Mills, MD)
- …experience reviewing and approving mutual fund or investment adviser marketing materials + Series 7 and 24 registrations (may consider strong candidates without ... sales staff. The position will review these Communications for compliance with applicable regulations, such as the SEC Advertising...the Series 24 with the understanding that the … more