- 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 ... a Corporate Financial Solutions Advisor?**...documentation of outcomes + Demonstrate expert knowledge of and compliance with internal and regulatory policies, procedures and processes… more
- Insight Global (Tampa, FL)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …range of accounts, including trust, estate, and entity accounts. + **Ethics & Compliance :** Maintain a high level of integrity and adhere to Raymond James' Code ... experience. * Three (3) or more years' experience in financial services / operations including one (1) year as...provided that an exemption or grandfathering cannot be applied Series 7 and 63/65 or 66 Required - must… more
- Bank of America (Jacksonville, FL)
- Global Financial Crimes Compliance (GFCC) Investigator - Brokerage Charlotte, North Carolina;New York, New York; Hunt Valley, Maryland; Pennington, New Jersey; ... acting as the liaison to Law Enforcement as required. The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one… more
- Bank of America (Chandler, AZ)
- Financial Services Representative - Retirement and Benefits Bilingual Spanish Chandler, Arizona;Jacksonville, Florida; Pennington, New Jersey **Job Description:** At ... are guided by a common purpose to help make financial lives better through the power of every connection....in the offer letter.** **You must achieve your SIE, Series 7 and Series 63 licensing with… more
- Wells Fargo (Davidson, NC)
- …education + 2+ years of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Raymond James Financial, Inc. (Montgomery, AL)
- …Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), … more
- Raymond James Financial, Inc. (Bluffton, SC)
- …Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), … more
- Wells Fargo (Boulder, CO)
- …education + 3+ years of management experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- US Bank (Cincinnati, OH)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... **Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function,… more
- Equitable (Minneapolis, MN)
- …Supervise advertising, correspondence, outside business and DBA activities. + Conduct Financial Professionals' compliance audits, including review of business ... practices and inspection of physical locations + Ongoing Financial Professional compliance training. The base salary...Experience:** + Bachelors degree + 1 Years experience in Compliance roles + FINRA Series 7, 65… more
- PNC (Cleveland, OH)
- …valued and have an opportunity to contribute to the company's success. As a Compliance Program Group Manager, you will be within PNC's first line of defense Risk, ... & Strategy (RCES) organization, and serve as the Chief Compliance Officer for PNC Investments LLC ('PNCI") - a...is required to support critical projects and regulatory examinations. Series 7 and 24 (or equivalent) required. JD preferred.… more
- Ascensus (Dresher, PA)
- …Requirements** + Bachelor's degree in related field, or proven experience in financial services (ie, broker-dealer and/or investment adviser) compliance + ... with the development, implementation, and supervision of an effective Regulated Entity compliance program designed to comply with the applicable SEC, FINRA, MSRB,… more
- Air National Guard Units (Mcguire AFB, NJ)
- …financial interpretations. Experiences included work that established and directed financial policies that ensured compliance with fiduciary responsibilities, ... Summary This job opportunity is for a FINANCIAL MANAGER, position description D1540000, within the 108th...(Guidance established by NJ HRO-J1) Qualifications General Experience: All series personnel must be certified at the next higher… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 15 research ... trends that lead to faster and better strategic and financial decisions. Cleveland Research Company is a truly independent...help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key… more
- US Bank (St. Louis, MO)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of capital markets, swap dealer, Municipal Securities Rulemaking Board… more
- CIBC (New York, NY)
- …**What You'll Be Doing** The US Capital Markets Compliance Analyst is responsible for performing important surveillance functions ... to support CIBC's US Compliance program. The Compliance Analyst will 1)...working relationships;. + Excellent verbal and writing skills; + Series 7 preferred ( Series 4, 57 licenses… more
- Umpqua Bank (Spokane Valley, WA)
- … Financial Advisor(s) and clients + Provide backup support to other Financial Assistants when necessary. + Demonstrates compliance with all bank regulations ... Financial Services Sales Assistant I Wealth Management Spokane...fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and… more
- Financial Partners Credit Union (Long Beach, CA)
- …paperwork and reports according to regulatory and company standards. Maintain compliance with all financial and ethical regulations. **Additional Duties:** ... **Position** : Financial Consultant **Requisition ID:** : 1564 **Job Summary:**...joining the credit union. **Licenses and Certifications:** + FINRA Series 7 and Series 66 (or … more