- PeaceHealth (Bellingham, WA)
- …posting.** **Job Summary** Provides professional nursing direct patient care in compliance with professional practice and unit standards. Promotes a collaborative, ... or federal laws. **PeaceHealth requires a completed Primary Vaccine Series (eg, 2 dose monovalent Pfizer, Moderna or Novavax... (eg, 2 dose monovalent Pfizer, Moderna or Novavax series or 1 dose J&J vaccine series )… more
- Morgan Stanley (Tampa, FL)
- …to diversifying its workforce (M/F/Disability/Vet). Keywords: compliance , reviewer, financial, SEC, FINRA, Series 9 / 10, Series 7, Series 66, ... The Licensed Compliance Reviewer or "Principal Reviewer" role is primarily...Active Licenses required: o Series 7 o Series 66 o Series 9 ...Series 7 o Series 66 o Series 9 and 10 * 1 year… more
- Citizens (Westwood, MA)
- Description The Compliance Manager will support all aspects of compliance activities reporting to the Sr. Compliance Manager. This individual will be the ... and advertising activities. Most importantly the SEC advertising rule. As a Compliance team member, working within the Citizens Compliance function, will… 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 ...the SDI program. The contribution rate for 2023 is 0. 9 percent of earnings. The SDI taxable wage limit… more
- Internal Revenue Service (Philadelphia, PA)
- …and you currently hold, or have previously held, a position in the same job series with the IRS, there is no need to submit a transcript or equivalent at ... to submit an SF-50 documenting experience in a specific series . A college or university degree generally must be...be amended to include additional cut-off dates within the 9 month period if needed, not later than 10… 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
- Bank of America (Cincinnati, OH)
- …to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... clients to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Key Qualifications for… more
- Bank of America (Albuquerque, NM)
- …+ 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 (Delray Beach, FL)
- …+ 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
- Bank of America (Northbrook, IL)
- …+ 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 (Mandeville, LA)
- …to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Market Supervision Manager is responsible for a wide variety of delegated compliance , administrative and business functions related to the Merrill Wealth Management… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and client suitability (all at a level consistent with the requirement of Series 9 /10 licensing). Familiarity/facility with RJ and its systems is preferable. ... option for registered financial services professionals with supervision or compliance trade review experience and possessing appropriate licensure. **Essential...grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o… more
- Truist (Richmond, VA)
- …to perform the essential functions. 1 **. FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used ... brokerage and investment advisory industry rules, regulations and operations. 9 . Strong organizational skills and the ability to multi-task...or Business. 2. 7 or more years of regulatory, compliance or supervisory experience 3. FINRA Series … more
- Morgan Stanley (Sandy, UT)
- …and Registrations: o Series 7 o Series 66 (or 63 and 65) o Series 9 / 10 * Ability and willingness to obtain other licenses as determined by management ... employee relation issues * Assists in regulatory, legal and compliance issues related to their team members which may...keywords: sales, leadership, contact center, call center, financial services, Series 7, Series 9 /… more
- Defense Human Resources Activity (Alexandria, VA)
- …of Defense," dated October 15, 2021. As a Interdisciplinary at the GS-0180/0184/1530-7/ 9 /11 some of your typical work assignments may include: Participates in all ... studies involving complex sample survey design and appropriate analytics (eg,Taylor- series linearization estimation of standard error). Participates in all technical… more
- Bank of America (Chicago, IL)
- …**required** to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent ... to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Managerial Responsibilities:**… more
- Truist (Charlotte, NC)
- …disabilities to perform the essential functions. 1. FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 4 and 53. Series 63&65 can ... regulatory, audit activities. Promote various risk initiatives and their supporting metrics. 9 . Work alongside the GCO Risk Program Execution team in executing and… more
- Morgan Stanley (Atlanta, GA)
- …* Four-year college degree required or equivalent education * Previous industry experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... Oversee various administrative efforts in the branch * Ensure compliance with Firm policies and procedures by overseeing the...and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)… more
- Morgan Stanley (Kirkland, WA)
- …* Four-year college degree required or equivalent education * Previous industry experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... Oversee various administrative efforts in the branch * Ensure compliance with Firm policies and procedures by overseeing the...and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)… more
- Morgan Stanley (Red Bank, NJ)
- …and SKILLS: Education and/or Experience * High School Diploma/Equivalency * College degree preferred * Active Series 7 (GS), Series 9 and Series 10 (SU), ... behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures * Identify Firm...and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)… more