- 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
- Scotiabank (New York, NY)
- …Post graduate degree ( JD or MBA) a plus but not required. + FINRA Series 7 required. Series 24 or 57 preferred. **Interested?** If your experience ... work environment. **What You'll Bring** + A minimum of 5- 7 years of compliance experience, including experience providing advisory support to a broker-dealer… more
- Principal Financial Group (Des Moines, IA)
- …debt, and/or alternative lending. + FINRA licensing is required including the SIE or equivalent, series 7 and series 24. + Excellent written and verbal ... **What You'll Do** As a Director of Compliance in Principal Asset Management you'll support Private...You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years related work… more
- Principal Financial Group (Des Moines, IA)
- …debt, and/or alternative lending. + FINRA licensing is required including the SIE or equivalent, series 7 and series 24. If not already licensed, must obtain ... **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private...You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years related work… 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 ... we should talk. **Job Overview** Position Schedule: Full-Time Edward Jones is seeking Compliance Counsel for our Capital Markets and Operations Compliance area.… more
- JPMorgan Chase (Miami, FL)
- …of brokerage, options, private investments, supervisory and marketing rules preferred. + FINRA Series 7 , 24, 63 preferred. + Fluent in Spanish and/or in ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...**Preferred qualifications, capabilities, and skills** + Bachelor's degree required; JD or MBA a plus. + Strong product knowledge… more
- Veterans Affairs, Veterans Health Administration (IN)
- …to fill, critical positions. Advising leadership regarding annual regulatory compliance requirements to achieve correct compensation results, avoid unnecessary ... Tour of Duty will be set between hours of 7 :00am - 5:00pm EST. Compressed/Flexible: May be authorized at...Personnel Action). The SF-50 must identify the position title, series , grade, step, tenure and type of service (Competitive… more
- City National Bank (Woodland Hills, CA)
- …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
- SAIC (Washington, DC)
- …Monitoring process and maintain the controls matrix in alignment with multiple compliance frameworks and standards. + Install and configure cybersecurity tools (ie ... and validate eMASS controls + Proficient in government cybersecurity compliance tools. + Assist in the design and implementation...years or more of related experience. Masters and seven ( 7 ) years or more of related experience. PhD or… 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
- Veterans Affairs, Veterans Health Administration (Togus, ME)
- …Duties include, but may not be limited to the following: Ensuring compliance with record keeping requirements for VHA records. Independently develops and utilizes ... the full performance level. Work Schedule: Monday Thru Friday 7 :30am - 4:00pm Telework: VA supports the use of...Personnel Action). The SF-50 must identify the position title, series , grade, step, tenure and type of service (Competitive… more
- Edward Jones (Phoenix, AZ)
- …+ Bachelor's degree in Business, Finance, Accounting or Law required + Advanced degree (such as JD ) required + Series 7 and 66 preferred or obtained within 6 ... with Edward Jones internal stakeholder groups (Edward Jones Trust Co, Compliance , Legal, Service, Operations, Home Office Portfolio Strategist, etc.) to ensure… more
Related Job Searches:
Compliance,
Compliance JD,
Compliance Series,
Compliance Series 7,
JD,
Series,
Series 7