- Merck & Co. (Rahway, NJ)
- …help drive technology optimization, align teams to overall Security and Compliance Strategy and drive technology and architecture blueprints re-use.The ideal ... Bachelor's degree in computer science, Mathematics, other relevant engineering discipline 7 + years of experience working in a large enterprise, driving outcomes… 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 surveillance, reporting, and guidance for all… more
- Equitable (Minneapolis, MN)
- …**Qualifications** **Required Experience:** + Bachelors degree + 1 Years experience in Compliance roles + FINRA Series 7 , 65 or ... Branch Compliance Manager ( 240000MA ) **Primary Location** :...and Investment/ Advisory ProductsLI-E **Preferred Qualifications** **:** + FINRA Series 51 preferred + Ability to make sound business… 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 ... including trust, estate, and entity accounts. + **Ethics & Compliance :** Maintain a high level of integrity and adhere...50 states + Series 9, 10 and 24 preferred. **Education** Bachelor's: Accounting,… 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
- 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)
- …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)
- …Primary Care Lone Tree Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School of ... Primary Care - Lone Tree Clinic Open Rank - Senior Instructor Series ** **Position #00829087: - Requisition #35712:** **Job Summary:** **1.0 cFTE** **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 ... Family Medicine - Boulder Clinic** **Open Rank - Senior Instructor Series ** **Position #00829518: - Requisition #35707:** **Job Summary:** **1.0 FTE** **Examples… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… 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 ... for Dependency, Addiction, and Rehabilitation** **(CeDAR) (Open Rank - Professor Series )** **Position #00826737 - Requisition #34694** **This position may be… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… 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
- Morgan Stanley (Gilbert, AZ)
- …its workforce (M/F/Disability/Vet). Keywords: Supervisor, manager, compliance , reviewer, financial, SEC, FINRA, Series 9 / 10, Series 7 , Series 66, ... is an important part of our culture. The Licensed Compliance Reviewer or "Principal Reviewer" role is primarily responsible...people manager or supervisor * Active Licenses required: o Series 7 o Series 66… more
- Jackson National Life Insurance Company (Nashville, TN)
- …experience (insurance, financial services, compliance , legal, etc.) required.** **FINRA Series 7 and 24 required.** We don't just accept difference ... and bolster sales. The Consultant works closely with Distribution Marketing, Compliance , Strategic Relationships, Asset Managers, and other key stakeholders to… more
- US Bank (Cincinnati, OH)
- …preferred Series Professional certifications: FINRA Securities Industry Essentials (SIE), Series 7 , 24, and 63 or 66 registrations. Basic Qualifications ... Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on...Typically more than two years of applicable experience - ** Series 7 , 24 and 63 required.** (… more
- PNC (Cleveland, OH)
- …(Pittsburgh or Cleveland) is required to support critical projects and regulatory examinations. Series 7 and 24 (or equivalent) required. JD preferred. **Job ... opportunity to contribute to the company's success. As a Compliance Program Group Manager, you will be within PNC's...**Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA SIE, Series 7 and 24, or Series… 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 (Arlington, VA)
- …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)
- …Fixed Income (Tax-Exempt): Municipal Trading and Underwriting - SIE, Series 52 and 63 (or Series 7 , if taken prior to 11/ 7 /2011, is acceptable in lieu of ... and manage risk as well as understand the team's compliance within risk and regulatory requirements. This individual will...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and… more
