- Guardian Life (New York, NY)
- … compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7 ; 24 licenses required or obtained within 120 days. + A ... 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
- GE Vernova (New York, NY)
- …capital raising. **Desired Characteristics** + Holds US securities industry licenses, such as SIE, Series 7 and Series 24. + Experience advising senior ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory ...coverage; access to Health Coach from GE Vernova, a 24/ 7 nurse-based resource; and access to the Employee Assistance… more
- Coinbase (Madison, WI)
- …*Nice to haves:* * Experience supporting a retail (fully disclosed) introducing broker. * JD, Series 7 , Series 24. * Experience working at FINRA. * Crypto ... requirements):* * 7 + years experience working in a retail broker-dealer compliance team. * Comfortable working in a fast-paced environment with high levels of… more
- Guardian Life (Columbus, OH)
- …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
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …of Compliance and/or regulatory experience within both RIA and broker-dealer business segments., + Series 7 , 24 (or 26), 63, 65 (or 66), Series 53 (or ... Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance ...a Compliance Specialist to support the firm's Compliance Program. You will report to Manager- Compliance … more
- Edward Jones (St. Louis, MO)
- …of finance, business, engineering, mathematics, or information systems; advanced degree preferred + Series 7 , 63/66 or the ability to obtain within 9 months ... due to the volume of applicants. The Team Leader: Compliance Solutions is responsible for leading a team that...of start; series 9/10 or 24 are a plus + A… more
- MetroLink (Los Angeles, CA)
- Environmental Compliance and Station Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5157247) Apply Environmental Compliance ... + Benefits + Questions SUMMARY PURPOSE OF POSITION The Environmental Compliance and Station Administrator is responsible for ensuring that all Metrolink-owned… more
- MetroLink (Los Angeles, CA)
- …DISTINGUISHING CHARACTERISTICS This is the entry level in the Contract and Compliance Administrator series . At this level, assignments are generally limited ... Contracts & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5152779) Apply Contracts &...of monthly earnings subject to a maximum benefit of $ 7 ,500 per month up to age 65. In order… more
- Zions Bancorporation (Salt Lake City, UT)
- …investment management, investment banking, auditing or other directly related experience. + FINRA Series 7 , 79, 53, or 24 strongly preferred. + Employee will ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Manager** **within the Market, Liquidity, Wealth Risk & Compliance Team.**… more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer -...with AML /BSA programs in US broker-dealers) * FINRA Series 7 and 24 registrations * Strong presentation ... New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & Requirements**...Risk Ref # 10047869 **Description & Requirements** Bloomberg's Legal, Compliance & Risk Department plays a critical role in… more