- 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
- 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
- Edward Jones (St. Louis, MO)
- … experience required, preferably in the securities (or other highly regulated) industry + Series 7 , 66, 52 and 24 licenses must be obtained within 12 ... should talk. **Job Overview** **Position Schedule:** Full-Time Edward Jones is seeking Compliance Counsel for our Capital Markets and Operations Compliance area.… 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
- City National Bank (Las Vegas, NV)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Skills ... 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 (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 (Greenwich, CT)
- …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
- 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
- JPMorgan Chase (Miami, FL)
- …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
- 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
- Veterans Affairs, Veterans Health Administration (Brockton, MA)
- …initiatives, such as budget distribution models, emergency management, Joint Commission, compliance , etc. The work involves investigating and analyzing a variety of ... and ensuring smooth execution of the event. Work Schedule: Monday - Friday 7 :30am to 4:00pm Telework: Authorized 1-2 days each pay period. Virtual: This is… more
- Edward Jones (St. Louis, MO)
- …of three years of progressive professional responsibility and experience in relevant practice areas. + Series 7 , 66, 9, 10, and 24 licenses are required or must ... U4/U5 amendments, to ensure clarity, consistency, and accuracy as well as compliance with legal requirements and industry regulations. + Collaborate with firm… more
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