- Truist (Richmond, VA)
- …or equivalent education and related training. + **FINRA Series 4, 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53, Series 63 & 65 can ... Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm...be used in lieu of Series 66). **Life/Health and Variable Insurance Licensing are strongly… more
- New York State Civil Service (Albany, NY)
- NY HELP No Agency Court Administration, Office of Title Analyst Series (Payroll) Occupational Category Financial, Accounting, Auditing Salary Grade 18 Bargaining ... 0% Workweek Mon-Fri Hours Per Week 35 Workday From 9 AM To 5 PM Flextime allowed? No Mandatory...SERVICES IS RECRUITING FOR POSITIONS IN THE COURT ANALYST SERIES . THE POSITIONS WILL BE FILLED IN ONE OF… more
- City of Missoula, MT (Missoula, MT)
- Utility and Transportation Engineer Series Print (https://www.governmentjobs.com/careers/missoulacity/jobs/newprint/4717886) Apply Utility and Transportation ... Engineer Series Salary Depends on Qualifications Location Missoula, Montana Job...Under the mentorship of experienced professionals, you will ensure compliance with City, State, and Federal standards while collaborating… more
- MTA (Brooklyn, NY)
- Staff Analyst Series - Budget, Procurement, Staffing Analyst - OHS Job ID: 9857 Business Unit: MABSTOA Location: Brooklyn, NY, United States Regular/Temporary: ... Jan 29, 2025 Description Job Information: Title: Staff Analyst Series - Budget, Procurement, Staffing Analyst (OHS) Opening Date:...Work Location: 300 Cadman Plaza West Hours of Work: 9 :00AM - 5:00PM This position on the NYC Transit… more
- MTA (Brooklyn, NY)
- Staff Analyst Trainee Series - Budget, Procurement, Staffing Analyst (OHS) Job ID: 9858 Business Unit: MABSTOA Location: Brooklyn, NY, United States ... 29, 2025 Description Job Information: Title: Staff Analyst Trainee Series - Budget, Procurement, Staffing Analyst (OHS) Opening Date:...Location : 300 Cadman Plaza West Hours of Work: 9 :00AM - 5:00PM This position on the NYC Transit… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …63/65 or 66 Required - must be registered in all 50 states + Series 9 , 10 and 24 preferred. **Education** Bachelor's: Accounting, Bachelor's: Business ... range of accounts, including trust, estate, and entity accounts. + **Ethics & Compliance :** Maintain a high level of integrity and adhere to Raymond James' Code… more
- Edward Jones (St. Louis, MO)
- …primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based ... deep relationships across the organization. As a Senior HQ Compliance Advisor, you will need to demonstrate leadership behaviors...leadership and unwavering integrity + SIE exam (if applicable), Series 7 Top Off, Series 66 and… more
- JPMorgan Chase (Jersey City, NJ)
- …other Compliance function + FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered JPMorganChase, one of the oldest ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- US Bank (Helena, MT)
- …to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series 63 (or Series ... and drive to deliver an experience that improves our clients' financial lives. 9 . Apply strong critical thinking and problem-solving skills to help address the… more
- Louisiana Department of State Civil Service (Baton Rouge, LA)
- Compliance Examiner 1/2/3 Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/4793577) Apply Compliance Examiner 1/2/3 Salary $3,300.27 - ... insurance companies' financial filings for financial soundness and statutory compliance . The analysis is risk-focused, which entails identifying and assessing… more
- Edward Jones (St. Louis, MO)
- …**Position Schedule:** Full-Time In this role, you will lead a team of compliance professionals and attorneys to support the continued growth of Edward Jones' ... primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based… more
- Ventura County (Ventura, CA)
- …CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9 /80 workweek) may be available for some positions. + Telework Schedule - A remote ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- Raymond James Financial, Inc. (Columbus, GA)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses...that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. +… more
- Bank of America (Farmington Hills, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Los Angeles, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Raymond James Financial, Inc. (Kirkland, WA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 9 & 10 if required ... book of business. + May be responsible for ensuring compliance with firm and regulatory policies and procedures including...Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10… more
- Wells Fargo (Davidson, NC)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Currently ... Group branch, and manage the daily administration, operations, and compliance functions + Identify and recommend opportunities for growth...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent… more
- Wells Fargo (Santa Rosa, 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
- Bank of America (Atlanta, GA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Milwaukee, WI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more