- Vanguard (Charlotte, NC)
- …knowledge. + High school, associate degree, or bachelor's degree. + This job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA, ... state, SFC). These will be determined by Compliance based on role-specific duties. How we will help:...a financial background to pass their SIE and FINRA Series 7 & 63. After joining corporate… more
- Vanguard (Charlotte, NC)
- …Undergraduate degree or equivalent combination of experience, preferred. + This job requires a Series 7 and 63 regulatory license and/or registration (eg ... FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. How we will help:...continuous support needed to pass the SIE and FINRA Series 7 & 63. + Access to… more
- Navy Federal Credit Union (Matthews, NC)
- …to generate GDC based on defined thresholds within a specified period of time + FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration ... for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures...required. Life & Health Insurance License preferred (or the ability to obtain within 90… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 and 65 ... business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned. **Qualifications… more
- Wells Fargo (Greenville, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license (s) is required for ongoing employment in this position. Compliance… more
- Veterans Affairs, Veterans Health Administration (Durham, NC)
- …the Primary Care (PACT) Teams and the Interdisciplinary Pain Team to ensure compliance with the regulations for Veterans that are dispensed an opioid, both opioids ... Agreements for Veterans that need them Maintains statistics/reports on Veterans and compliance with Opioid Safety Initiative. Collaborates with the Pain Committee on… more
- Vanguard (Charlotte, NC)
- …such as the CFA, CTFA or CPA preferred. + This job requires a Series 7 , 63 or 66 regulatory license and/or registration (eg FINRA, state, SFC) as well as ... once in the role. These will be determined by Compliance based on role-specific duties. + 7 + years of financial advice, financial planning, book of business… more
- Fresenius Medical Center (Charlotte, NC)
- …vision, core values and customer service philosophy. Adheres to the FMCNA Compliance Program, including following all regulatory and FMS policy requirements. For a ... state and federal regulatory requirements. Oversees OSHA and regulatory compliance related issues ensuring appropriate actions taken to ensure...will typically consist of 10 to 25 clinics and 7 to 15 exempt and non-exempt employees. + Works… more
- First Horizon Bank (Charlotte, NC)
- …OFFICE EQUIPMENT:** + Proficiency in Microsoft Office. **CERTIFICATES, LICENSES, REGISTRATIONS (Ex CPA, Series 6 or 7 license , etc.)** + Preferred ... stages of development, maintaining high standards for product quality and compliance with industry standards. + Defines product requirements and roadmap, driving… more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Carolina Life, Accident and Health Insurance License required. + CFP, ChFC, JD, CPA or similar… more