- Raymond James Financial, Inc. (Vienna, VA)
- …offers a comprehensive education for the next generation of Raymond James Financial Advisors. The program takes a holistic approach by incorporating training for ... for success. In conjunction with a Mentor, Branch Manager, and/or a team of Financial Advisors, the Financial Advisor Trainee will learn to build an individual… more
- Guardian Life (Richmond, VA)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness,...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … more
- Coinbase (Richmond, VA)
- …as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want ... and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world,… more
- Wells Fargo (Winchester, VA)
- …relationships with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Office of the Secretary of Defense (VA)
- …financial reporting, streamline processes, enhance data accuracy, and ensure compliance with federal financial management requirements. EXECUTIVE CORE ... Summary The Director, Financial Improvement and Audit Remediation promotes financial...A-123), with proven ability to apply these rules, ensure compliance , and adapt to changes. TQ 2: Demonstrated experience… more
- Broadcom (Reston, VA)
- …experienced program manager with software engineering skills to lead security compliance and audit activities for its Enterprise Security Group (ESG) cybersecurity ... technical and non-technical stakeholders to ensure comprehensive and effective compliance . The ideal candidate will facilitate interactions with third-party testing… more
- Bank of America (Vienna, VA)
- …legacy, and other life goals through investment advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the ... with the market leadership team, Market Executives, Resident Directors, Financial Advisors, Wealth Management Client Associates, and Wealth Management Associates… more
- Bank of America (Vienna, VA)
- …practice and complete the training and development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 ... Merrill Experienced Financial Advisor Honolulu, Hawaii;North Bethesda, Maryland; Los Angeles,...inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and… more
- Wells Fargo (Gainesville, VA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... it here. At Wells Fargo, we're more than a financial services leader - we're a global trailblazer committed...by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect… more
- Truist (Richmond, VA)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of ... job description:** Purpose: Mitigate risk for the firm from financial , reputation and regulatory items by ensuring that the...that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal… more