- PrimeTech International, Inc. (PTi) (VA)
- …other duties as assigned in association with established Management and Contract Compliance Plan, and workload requirements, etc. Adhere to PTi quality, safety, and ... to be available up to 24 hours per day, 7 days per week during key events and increased...instructions, perform common mathematical tasks, and communicate effectively Certificate, License , Registration, etc.: Shall possess a certificate from a… more
- University of Colorado (Aurora, CO)
- OPEN RANK (Instructor Series / Professor Series ) Tele Psych Psychiatrist - 22147 Faculty **Description** **University of Colorado - School of Medicine** **OPEN ... of Psychiatry, Adult/ Community, Population, and Public Division Psychiatrist (Instructor Series / Professor Series ) Tele Psych Psychiatrist** The University of… more
- University of Colorado (Aurora, CO)
- Family Physician - Centennial Clinic Open Rank - Senior Instructor Series - 31694 Faculty **Description** **University of Colorado | CU Anschutz Medical Campus** ... **Family Physician - Centennial Clinic** **Open Rank - Senior Instructor Series ** **Position #** **00817309** **Requisition #31694** **Job Summary:** **This position… more
- MTA (New York, NY)
- Associate Project Manager Series Job ID: 6912 Business Unit: New York City Transit Location: New York, NY, United States Regular/Temporary: Regular Department: NYC ... Transit Authority Date Posted: May 7 , 2024 Description Job Information: Title:..., 2024 Description Job Information: Title: Associate Project Manager Series (Job Req #6912) Opening Date: 05/07/2024 Closing Date:… more
- Atria Wealth Solutions (Houston, TX)
- …any other functions or projects as assigned. Required Education, Skills, and Experience: + FINRA Series 7 & 24, 66 (or equivalent 65/63). + Bachelor's degree or ... USA Compensation: 70,000 - 85,000 Position Purpose: The Senior Compliance Analyst assists the firm in mitigating certain risk...Skills, and Experience: + FINRA Series 4, Series 53, and Life insurance license a… more
- MetroLink (Los Angeles, CA)
- …to apply immediately. DISTINGUISHING CHARACTERISTICS This is the entry level in the Compliance Officer series . At this level, assignments are generally limited ... Compliance Officer I Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/4290847) Apply ...of required experience. + Valid Class C California Driver's License with a satisfactory driving record of no more… more
- First Horizon Bank (Miami Lakes, FL)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... TN, Orlando, FL, Miami Lakes, FL **Summary** The Risk Compliance Officer develops, administers and monitors programs for ...in this position: 1. Bachelor (4-year college) degree and 7 + years of experience or equivalent combination of education… more
- Edward Jones (St. Louis, MO)
- …+ Exceptional judgment, strong work ethic, thought leadership and unwavering integrity Active Series 7 , 66 and 24 licenses preferred. Although not required for ... primary responsibilities will focus on maintaining and continually evolving the compliance program for a suite of discretionary and client-directed fee-based… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …scope and impact for the Investment Advisers Act of 1940 Section 206(4)- 7 compliance obligations. Works independently on difficult assignments that are ... approved by Human Resources. **Licenses/Certifications** * None Required. * Appropriate series license (s) for assigned functional area preferred. * Additional… more
- State of Colorado (Denver, CO)
- Risk & Compliance Support Specialist (Program Asst. I): DORA/Division of Professions & Occupations Print ... (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4509786) Apply Risk & Compliance Support Specialist (Program Asst. I): DORA/Division of Professions… more
- First Horizon Bank (Memphis, TN)
- …OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required. **About ... reviewers to ensure timely resolution of issues. + Identify non- compliance and/or deficiencies in advertising links and web pages....unlock their full potential with capital and counsel. With $81. 7 billion in assets as of December 31, 2023,… more
- First Horizon Bank (Raleigh, NC)
- …suite . GRC . Audit program management tools **CERTIFICATES, LICENSES, REGISTRATIONS** (Ex: CPA, Series 6 or 7 license , etc) Professional certification in ... LA, New Orleans, LA, Charlotte, NC, Raleigh, NC, **SUMMARY** Compliance role within IT. **ESSENTIAL DUTIES AND RESPONSIBILITIES** ....unlock their full potential with capital and counsel. With $81. 7 billion in assets as of December 31, 2023,… more
- Ventura County (Ventura, CA)
- …to employees in this classification who possess and maintain a valid, current CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9/80 ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- Wells Fargo (Athens, GA)
- …moderately complex to complex client needs + May study and test for additional licenses ( Series 7 and Series 66) once the minimum licensing requirements are ... the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly… more
- Wells Fargo (Anaheim, CA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Wells Fargo (Minneapolis, MN)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more
- Veterans Affairs, Veterans Health Administration (Santa Rosa, CA)
- …and Therapeutics Committee with medication use evaluations and other safety initiatives. 7 ) Promotes and monitors compliance for established drug therapy ... other diagnostic studies necessary to monitor and support the patient's drug therapy. 7 ) Follows-up with patients on laboratory or test results to discuss the plan… more
- Wells Fargo (St. Louis, MO)
- …experience, education + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examination (or FINRA recognized equivalents) sufficient ... . **In this role, you will:** + Participate or conduct compliance , supervision, control reviews, administration and technology + Design risk processes… more
- Ventura County (Ventura, CA)
- …I); $.80 per hour (Level II); or $.90 per hour (Level III). + Professional License : Incumbents may also be eligible for a professional license incentive of 5% ... are responsible for reviewing consultant plans, specifications, and reports for compliance with County or special district requirements; will have experience and… more
- Wells Fargo (Denver, CO)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or ... Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other… more
