- Randstad US (Charlotte, NC)
- series 7 - customer service specialist 2. + charlotte...$27 - $33 per hour shift: First work hours: 8 AM - 5 PM education: Bachelors Responsibilities As a ... at least 2 years of experience with your ACTIVE Series 7 license. Series 7 is required!...judgment while developing understanding of function, policies, procedures, and compliance requirements. + Provide information to client personnel in… more
- T. Rowe Price (Owings Mills, MD)
- …Rowe Price Investment Services, Inc. ("TRPIS") in maintaining and enhancing it's respective compliance program as it relates to Brokerage. The Manager will also lead ... and support projects to improve compliance processes/programs. This will include influencing and guiding senior...related work experience, or + High school diploma/equivalent and 8 years related work experience. + Knowledge of FINRA,… more
- Capital One (New York, NY)
- … 7 or 79 **Preferred Qualifications** + Master's degree or Juris Doctor + 8 + years of experience working in compliance , legal, audit, operations or finance ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor...within financial services OR 8 + years of experience with a regulator overseeing broker… more
- Citizens (Tarrytown, NY)
- Description The Compliance Team Lead will have responsibilities within the compliance program for the Citizens Private Wealth segment of Citizens Wealth ... position will be responsible for building, implementing, and continuously improving the compliance framework, promoting a culture of compliance , and mitigating… more
- Citizens (Johnston, RI)
- …create new opportunities, think beyond your role, and make an impact! As the Compliance Team Lead- Advertising & Marketing, you will play an integral role in the ... strategy and implementation of Compliance management throughout Wealth Management. While in this role,...staff within the organization. + Strong research skills required. Education/ Series : + Bachelor's degree Required. + Series … more
- MetroLink (Los Angeles, CA)
- …immediately. DISTINGUSUING CHARATCHERICS This is the senior level of the Contract & Compliance Administrator series . At this level, work may be performed under ... Senior Contract & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/4642379) Apply Senior Contract...10-day work period, you work eight 9-hour days, one 8 -hour day and have one day off. Your day… more
- Huntington Ingalls Industries (Fort Belvoir, VA)
- …intelligence products for the application of IC Analytic Tradecraft Standards and compliance with Intelligence Community Directive (ICD) 203 series . + Develops ... Experience with application of IC Analytic Tradecraft Standards and compliance with ICD 203 series . + Clearance-...maintain a TS/SCI w/Poly Preferred Requirements + At least 8 years of experience conducting analysis relevant to the… more
- Veterans Affairs, Veterans Health Administration (Richmond, VA)
- …Care System (CVHCS), Richmond, Virginia. This position functions as the Corporate Compliance General Investigator. The primary purpose of this position is to ... may not be limited to the following: Developing, recommending, and implementing Compliance and Integrity program goals for operational units within the local health… more
- State of Colorado (Teller County, CO)
- COMPLIANCE INVESTIGATOR II (Cripple Creek) Division of Gaming Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4660714) Apply COMPLIANCE ... investigations into unlicensed and criminal activities within casinos. + Conducting compliance inspections. + Providing educational services to licensees and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Bachelor's Degree (BA/BS) in a related discipline and a minimum of eight ( 8 ) years of experience in Compliance and/or the financial services industry. * ... specialized training, and/or certification in financial services or banking industry compliance to administer and manage an assigned compliance function.… more
- Edward Jones (Tempe, AZ)
- …If so, this opportunity might be for you! Edward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex. This position ... regulations relevant to the affiliated funds business, and performing compliance testing across the Firm. **What You'll Do:** +...knowledge of financial services is preferred. + SIE exam, Series 7, 66, and 24, may be required within… more
- MindPoint Group (Washington, DC)
- Cybersecurity Compliance Team Lead **Department:** GRC **Location:** Washington, DC MindPoint Group is seeking an experienced ** Compliance Team Lead** that will ... one of our Legislative Branch clients. **Responsibilities:** + Lead & manage a Compliance Team responsible for the delivery of Information Assurance services + Lead… more
- Ventura County (Ventura, CA)
- …Biweekly DISTINGUISHING CHARACTERISTICS: Each successive level in the Finance Analyst series is distinguished by scope of independence and responsibility. The level ... of the position within the series is commensurate with the complexity of the assigned...Evaluates and reviews accounting policies and reporting systems for compliance with regulations and reporting requirements; and + Performs… more
- Amentum (Washington, DC)
- …intelligence products for the application of IC Analytic Tradecraft Standards and compliance with Intelligence Community Directive (ICD) 203 series + Develops ... Job Description Amentum is seeking an Analytic Tradecraft Compliance Specialist to support a DIA Analytic Innovations...able to obtain a polygraph. + Bachelors degree and 8 years \#DIAAIO Amentum is proud to be an… more
- Citigroup (Fort Lauderdale, FL)
- …or equivalent work experience Series 7 license; and Series 63 and Series 65 or Series 66; and Series 8 or Series 9 and Series 10 or ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Food Safety and Inspection Service (San Angelo, TX)
- …Utilize Agency information systems, reports, and analytical tools to oversee plants compliance with HACCP and other regulatory requirements, and to ensure that ... interdisciplinary position and may be filled in either of the job series /position titles listed. In addition to the specialized experience requirements, applicants… more
- Wells Fargo (Midlothian, VA)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... needs + May study and test for additional licenses ( Series 7 and Series 66) once the...a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008… more
- Natural Resources Conservation Service (Indianapolis, IN)
- …Providing statewide leadership on the Food Security Act, Wetland Conservation compliance and Highly Erodible Land Conservation. NOTE: There is no educational ... qualifications for this position, click here: Group Standard 400 series Experience refers to paid and unpaid experience, including...work arrangements. Current USDA policy includes telework for an 8 hour work day, 4 days per week; other… more
- PNC (Houston, TX)
- …The position is primarily based in a PNC location. Requirements for licensing - SIE, Series 7 & 63, or able to obtain within 120 days of employment. **Job ... industry and market developments, deal flow and regulatory requirements. Maintains compliance with policies and regulations. Provides coaching to other team members.… more
- Citigroup (San Antonio, TX)
- …Securities Licensure: + Series 7 license; and + Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or ... a diverse group of support and control functions including Business Risk, Compliance , Operational Risk, Legal and Internal Audit. **Qualifications** + Relevant 6-10… more