- Coinbase (Madison, WI)
- …customers. *Nice to haves:* * Experience supporting a retail (fully disclosed) introducing broker. * JD , Series 7 , Series 24. * Experience working at ... requirements):* * 7 + years experience working in a retail broker-dealer compliance team. * Comfortable working in a fast-paced environment with high levels of… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7 , 24, 79 a plus. SMBC's employees participate ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- MUFG (Irving, TX)
- …**Qualifications:** + Bachelor's degree required, advanced degree ( JD , MBA preferred) + 5- 7 years of Compliance and Control Room experience required + FINRA ... position shall be responsible to ensure that an effective compliance program is developed and maintained to address ...and written) + Experience with Excel or Access + Series 7 a plus The typical base… more
- Insight Global (Dallas, TX)
- …Requirements *Bachelor's degree required; JD , MBA, or other advanced degree a plus. *FINRA Series 7 , 24 and 63 are required *5+ years of compliance ... seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in...space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the… more
- City National Bank (West Hollywood, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Truist (Mclean, VA)
- …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
- First National Bank of Omaha (Omaha, NE)
- …) or industry certifications (eg, CFA, CCO, CAMS, CFIRS, CRCP, CTFA, IAACP) strongly preferred. Series 7 , 24 strongly preferred (or an ability to obtain). + 10+ ... Vice President, Wealth Risk and Operations to lead first-line risk management, compliance oversight, and operational excellence for our Wealth Division. The ideal… more
- Amazon (Culver City, CA)
- …for the creation and distribution of original music for Movies and Series , including deals with composers, songwriters, music supervisors, recording artists, music ... finance, legal, and creative teams. * Monitoring and ensuring compliance with studio precedent, policies and procedures. A day...team The Music BA Team is made up of 7 Executives globally, supporting all types of original production… more
- National Park Service (Page, AZ)
- …position appropriate for temporary appointment with the same qualification requirements (5 CFR 316.402[b][ 7 ]), based on series and grade, anywhere in the major ... Recreation Area and is part of the Planning & Compliance Division. These positions may be filled for a...leading to such a degree, -OR- An LL.B. or JD , if related. Please Note: One year of full-time… more
- JPMorgan Chase (New York, NY)
- …Compliance functions to ensure best practices **Required qualifications, capabilities, and skills:** + Series 7 , 9, 10, 66 and SIE licenses required + A ... Excel **Preferred qualifications, capabilities, and skills:** + Bachelor's degree required; MBA, JD or CFA or other professional designation strongly preferred. + … more
- Headquarters, Air Force Reserve Command (March AFB, CA)
- …Positions, Administrative and Management Positions, Miscellaneous Administration and Program Series , 0301 SPECIALIZED EXPERIENCE: Applicants must have at least one ... education leading to such a degree or LL.B. or JD , if related OR COMBINATION OF EDUCATION AND EXPERIENCE:...monitor and ensure flight crews' eligibility for flight, regulatory compliance , and support unit leadership data needs. OTHER SIGNIFICANT… more
- City National Bank (New York, NY)
- …Must remain in good standing under the Safe Act. *Additional Qualifications* * FINRA Series 7 , 63, and 24 securities licenses preferred * State insurance ... effectively in a matrix management environment. Risk Management, Credit Quality and Compliance * Ensure client team profiles thoroughly and is current on clients'… more