- Raymond James Financial, Inc. (Denver, CO)
- …regulations, and client suitability (all at a level consistent with the requirement of Series 9 , 10, and 24 licensing). * Familiarity/facility with RJ and its ... Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading...grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o… more
- Raymond James Financial, Inc. (Denver, CO)
- … Series 7, 24 and 63, Series 66 can be used in lieu of the 63, o Series 9 and 10 can be used as an equivalent to the 24 * State Insurance License in which ... moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through the… more
- State of Colorado (Teller County, CO)
- …Audit Manager in completing revenue audits and conducting all aspects of compliance audits of licensees. Assignments are structured and performed with direction and ... train positions for a higher level in the class series . This position will also perform duties that may...appointing authority or supervisor. Primary Duties: Revenue Audits and Compliance Reviews + Examine records and interview licensee staff… more
- Raymond James Financial, Inc. (Denver, CO)
- … Series 7, 24 and 63 * Series 66 can be used instead of the 63 * Series 9 and 10 can be used instead of the 24 + State Annuity and Life License for ... and applies them accordingly. * May participate in the formation of policies related to compliance . * Trains new associates * Acts as a mentor to new associates by… more
- State of Colorado (CO)
- …to learn how to complete revenue audits and conduct all aspects of compliance audits of licensees. + Assignments are structured and performed with the direction ... the intent of such requirement(s) as applicable. Revenue and Compliance Audits + Assist the Audit Manager and staff...range based on completed years in their current class series . The State of Colorado offers permanent employees a… more
- State of Colorado (Glenwood Springs, CO)
- …License Technician Trainee: In this trainee role, you will learn to ensure compliance with Colorado Revised Statutes and Federal laws, Department policies, rules and ... contact. + Communicate with customers about their needs, eligibility, and ensure compliance . + Assess the applicant's behavior and source documents and exercise… more
- State of Colorado (Denver, CO)
- …Program may increase the salary range for employees with time in the class series . How To Apply Please submit an online application for this position at ... all financial related transactions for CDOT are recorded in compliance with Generally Accepted Accounting Principles (GAAP), Governmental Accounting Standards… more
- State of Colorado (CO)
- …Description: H4G6XX Human Resources Specialist VI Minimum Qualifications: Experience Only: Nine ( 9 ) years of relevant experience in an occupation related to the work ... Management, Communications or other similar areas equal to nine ( 9 ) years, two (2) of which must have included...a pre-employment evaluation of their tax records/accounts to ensure compliance with this policy. Final candidates must also complete… more
- State of Colorado (Colorado Springs, CO)
- …which consists of 22.1% Hispanic; 6.2% Black/African American; 3.7% Asian/Pacific Islander: 0. 9 % American Indian/Alaskan Native; and 60.5% White. As such, we are ... This full-time position will typically work Monday through Friday, 9 :00 am to 5:00 pm with varying hours and...and written communication * Check schedule daily to ensure compliance with scheduled shifts * Arrive for shifts ready… more
- State of Colorado (Denver, CO)
- …Program may increase the salary range for employees with time in the class series . How To Apply Please submit an online application for this position at ... & Appeal Rights Experience Only: Must total at least 9 years and include the following + Four (4)...salary range for employees with time in the class series . Your EID begins with 997 and is nine… more