- JPMorgan Chase (Denver, CO)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses are… more
- Veterans Affairs, Veterans Health Administration (Aurora, CO)
- …with the GEC Program Manager, will be responsible for ensuring compliance with the associated VHA Directives & recommended practices. Closely collaborate ... & contractual components associated with processes, procedure, & regulations, ensuring compliance with all relevant standards. Redesign program processes to achieve … more
- JPMorgan Chase (Boulder, CO)
- …you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- State of Colorado (CO)
- …with State of Colorado rules and regulations or policy + Ensuring compliance with veterinary ethics and relevant statutes, policies, and procedures. + Research ... must undergo a pre-employment evaluation of their tax records/accounts to ensure compliance with this policy. Final candidates must also complete a successful… more
- JPMorgan Chase (Louisville, CO)
- …+ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- Raymond James Financial, Inc. (Denver, CO)
- …inform governance activities. + Collaborate with stakeholders across Fraud, Analytics, Compliance , Legal, Risk, Operations, Technology, and business units to ensure ... + Concepts, practices and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts, practices and procedures used in… more
- State of Colorado (Denver, CO)
- …personnel, providing the direction necessary to bring the designs into compliance with state and federal rules, objectives and guidelines. Helps construction ... projects providing the necessary direction to bring them into compliance with state and federal requirements and objectives, engineering...salary range for employees with time in the class series . Your EID begins with 997 and is nine… more
- State of Colorado (CO)
- …purchase tobacco and alcohol beverage products from licensed establishments. These underage compliance checks aim to prevent sales of tobacco and alcohol beverages ... must undergo a pre-employment evaluation of their tax records/accounts to ensure compliance with this policy. Final candidates must also complete a successful… more
- State of Colorado (Arapahoe County, CO)
- …expertise along with knowledge of racing requirements and risk. + Ensuring compliance with veterinary ethics and relevant statutes, policies, and procedures. + ... must undergo a pre-employment evaluation of their tax records/accounts to ensure compliance with this policy. Final candidates must also complete a successful… more
- State of Colorado (Denver, CO)
- …environment through scheduled sanitation procedures, tool/key inventory control, and compliance to applicable health and safety codes. Position coordinates ... and incident reports; ensures all work completed is in compliance with all applicable standards, codes, regulations, and policy....level or based on their time in the class series , whichever is higher. Those rehired or reinstated after… more