- US Bank (St. Louis, MO)
- …- Bachelor's degree, or equivalent work experience - Typically 3+ years of applicable experience - ** Series 7 , Series 24, and Series 63 or 66 required. ... **Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function,… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research...least three of the four following FINRA exams: SIE, Series 7 , Series 24 and ... candidate to help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key resource for the firm by assisting the… more
- Amazon (Arlington, VA)
- …Auditing, Information Systems Management, Computer Science, Business, or other related fields. * 7 + years of experience in security or compliance consulting in ... Description As part of the Santos Supply Chain Security, Compliance , Privacy and Trust team, you will build the bridges between security, technology, operations, and… more
- PNC (San Antonio, TX)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance...Derivatives - SIE, Series 7 and 63 within 120 days… more
- PNC (Chicago, IL)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... developing select client relationships. Provides superior client experience. Ensures compliance with risk and regulatory requirements. May assist Senior...Derivatives - SIE, Series 7 and 63 within 120 days… more
- Vanguard (Charlotte, NC)
- …and the related regulatory requirements (eg, Regulation CC, Regulation E, NACHA, etc.,) + FINRA Series 7 and Series 24 licenses and/or CRCM Certification is ... is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing...it. In this role, you'll not only build the compliance foundation for a new product but also influence… more
- PNC (Winston Salem, NC)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other...Derivatives - SIE, Series 7 and 63 within 120 days… more
- Guardian Life (Annapolis, MD)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... 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,… more
- TD Bank (Portland, ME)
- …and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health insurance license** + ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- Truist (Charlotte, NC)
- …institution 3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of Available Benefits for Eligible ... measurement data, along with oversight monitoring and mitigation strategies. 7 . May manage other Compliance teammates and serve as mentor to other Compliance… more
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