- 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 ... more
- State of Michigan (Rogers City, MI)
- Park & Recreation Ranger 9 (PH Hoeft State Park) Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/4873602) Apply Park & Recreation Ranger 9 ... more
- Louisiana Department of State Civil Service (Baton Rouge, LA)
- Compliance Examiner 1/2/3 Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/4894971) Apply Compliance Examiner 1/2/3 Salary $3,345.00 - ... more
- Edward Jones (St. Louis, MO)
- …primary responsibilities will include a focus on maintaining our continually evolving compliance program in the Workplace Segment with a growth and adaptability ... more
- M&T Bank (Boston, MA)
- …significant experience in broker dealer compliance . + Possess, or be willing to obtain, Series 14 (or 7 & 24, 63) licenses within 6 months of hire. + Proficiency ... more
- Edward Jones (St. Louis, MO)
- …Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 ... 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 ... more
- Raymond James Financial, Inc. (Indianapolis, IN)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... more
- Bank of America (San Diego, 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 ... more
- M&T Bank (Clanton, AL)
- …analysis and judgment-based work to support the identification and quantification of compliance risk. Utilize a data driven approach to assess the effectiveness of ... 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 ... more
- Bank of America (Ontario, 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 ... more
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... 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 ... more
- Raymond James Financial, Inc. (The Villages, FL)
- …Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch ... more
- Wells Fargo (Trenton, NJ)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... more
- Bank of America (Fort Worth, TX)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... more
- Bank of America (Charlotte, NC)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... more
- Raymond James Financial, Inc. (Kalamazoo, MI)
- …Authority (FINRA), Series 7_TR - Sec Trader - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10_SU - Gen Sec Sales Supervisor - ... more
- Wells Fargo (San Francisco, CA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Strong ... more