- 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 ... + Bachelor's degree or military experience + At least 7 years of experience working in compliance , legal,...Juris Doctor + 8+ years of experience working… more
- MTA (New York, NY)
- …relations, psychology, sociology, human resources development, political science, urban studies or a Juris Doctor degree from an accredited law school; or + A ... Posted: Nov 7 , 2024 Description Job Information: Title: Staff Analyst Series - System Safety (Confidential) Opening Date: 08/06/2024 Closing Date: Open Until… more
- Edward Jones (St. Louis, MO)
- …judgment, strong work ethic, thought leadership and unwavering integrity + SIE exam (if applicable), Series 7 Top Off, Series 66 and Series 24 ... periodic regulatory reviews of the firm's business, namely the Edward Jones Annual Compliance Review pursuant to Rule 206(4)- 7 of the Investment Advisers Act… more
- Citizens (Tarrytown, NY)
- …or equivalent Desired Qualifications: + FINRA Series 7 , 24 + JD preferred + Certified Regulatory Compliance Manager (CRCM) certification or equivalent is ... position within Citizens Private Wealth reporting to our Wealth Management Chief Compliance Officer. This newly created role is responsible for creating and… more
- Deputy Assistant Secretary for Finance (Austin, TX)
- …of this announcement. For a GS - 9 position you must have served 52 weeks at the GS - 7 . For a GS - 11 position you must have served 52 weeks at the GS - 9. The ... experience equivalent to at least the next lower grade GS- 7 in the normal line of progression for the...education leading to such a degree or LL.B. or JD , if related.; OR Combination: Applicants may also combine… more
- Internal Revenue Service (Ogden, UT)
- …in the following specialty areas: Independent Office of Appeals, Examination Appeals, Area 7 , Any Team. Department ID and reports to information will be determined ... the case file retrieved from automated and manual systems to verify compliance history and statute suspensions. Reviews and analyzes financial information that was… more
- National Renewable Energy Laboratory (Golden, CO)
- …(OLP), you will lead day-to-day security operations for NSRO, ensuring compliance with all applicable government regulations and policies. The selected applicant ... government agencies, external customers, NREL managers, employees, and contractors ensure compliance with National Policy + Collaborate with OLP to design,… more
- Truist (Charlotte, NC)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- Truist (Boston, MA)
- …essential functions. + Bachelor's Degree Required + FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics + CFP preferred or CTFA, CFA, CPA, JD or MBA + Completion or enrollment in certification… more
- Lincoln Financial Group (Radnor, PA)
- …JD strongly preferred + CFA, CPA or other advanced designation(s) strongly preferred + Current FINRA Series 6 or Series 7 required + 5- 7 + Years of ... channels + Acts as the liaison between IT, Advanced Sales, Marketing, Compliance and other key stakeholders to ensure successful sales concept deliverables +… more
- Edward Jones (St. Louis, MO)
- …+ Juris Doctorate ( JD ) or Certified Public Accountant (CPA) designation required. + Series 7 , 66 and Life and Health preferred or need to obtain within 6 ... apply to an organization, with the aim to ensure compliance with applicable laws, regulations, standards, and industry requirements....months of hire. + Series 24 must be obtained within 1 year. +… more
- Federal Aviation Administration (Duty, AR)
- …https://www.opm.gov/policy-data-oversight/classification-qualifications/general-schedule-qualification-standards/0000/environmental-protection-specialist- series ... may be announced for FV-G through K or grades FG- 7 through 15 to support the Infrastructure Investment and...the Infrastructure Investment and Jobs Act 2021. Responsibilities This series includes positions the duties of which involve: (1)… more
- Truist (Atlanta, GA)
- …essential functions. * Bachelor's Degree required * FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight Preferred Qualifications: * MBA, JD , CPA, CFA or CFP * 5 years of… more
- Interior, Bureau of Indian Affairs (Spokane, WA)
- …reports. Conducts realistic drills/scenarios to properly train canine. Ensures compliance with safety requirements to negate violations. Requirements Conditions of ... Qualification Standards ) Office of Personnel Management Qualifications, 1801 Series Qualifications GL-09:To qualify at the GL-09 level you...or equivalent graduate degree or a LL. B or JD , in a related field of study. OR; A… more
- Air National Guard Units (Kingsley Field, OR)
- …173rd Fighter Wing, National Guard. Responsibilities As a FINANCIAL MANAGEMENT ANALYST, GS-0501- 7 /9/11, this position is located in the Air National Guard (ANG) ... with the financial management enterprise to facilitate best practices and compliance assurance. (15%) 5. Analyzes and measures the effectiveness and efficiency… more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Accident and Health Insurance License required. + CFP, ChFC, JD , CPA or similar designation currently held of actively… more
- Edward Jones (St. Louis, MO)
- …+ Bachelor's degree in Business, Finance, Accounting or Law required + Advanced degree (such as JD ) required + Series 7 and 66 required within 6 months of ... with Edward Jones internal stakeholder groups (Edward Jones Trust Co, Compliance , Legal, Service, Operations, Home Office Portfolio Strategist, etc.) to ensure… more
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