• Wealth Regional Supervisor - Account Opening

    Truist (Atlanta, GA)
    …degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses… more
    Truist (08/08/25)
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  • Front Office Trade Surveillance VP

    Truist (Atlanta, GA)
    …made to enable individuals with disabilities to perform the essential functions.1. BA/BS degree 2. Licenses: Series 7 , Series 99, Series 24, Series ... within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to review trade surveillance alerts and… more
    Truist (06/14/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Charlotte, NC)
    …degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses… more
    Truist (07/08/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Richmond, VA)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
    Truist (07/08/25)
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  • Social Worker

    Veterans Affairs, Veterans Health Administration (Springfield, OH)
    …complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...the impact of psychosocial problems on health care and compliance with treatment. Reference: For more information on this… more
    Veterans Affairs, Veterans Health Administration (07/22/25)
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  • Advisor, Supervision - Annuity & Insurance

    Raymond James Financial, Inc. (Denver, CO)
    …o SIE required provided that an exemption or grandfathering cannot be applied. o Required to have Series 7 , 24 and 63, Series 66 can be used in lieu of ... moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through the… more
    Raymond James Financial, Inc. (06/12/25)
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  • Advisor, Supervision- Packaged Products

    Raymond James Financial, Inc. (Denver, CO)
    …o SIE required provided that an exemption or grandfathering cannot be applied. o Required to have a Series 7 , 9, 10 and 63 o Series 66 can be used instead of ... Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading...(all at a level consistent with the requirement of Series 9, 10, and 24 licensing). * Familiarity/facility with… more
    Raymond James Financial, Inc. (05/14/25)
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  • Health Program Analyst III / Emergency Appointment…

    The County of Los Angeles (Los Angeles, CA)
    …STANDARDS: This is the senior-/supervisory-level class in the Health Program Analyst Series . Positions allocable to this class are located in the department of ... small program. Factors affecting allocation of positions in the Health Program Analyst Series include but are not limited to scope and complexity of program/clinic,… more
    The County of Los Angeles (06/05/25)
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  • Central Supervision Analyst

    TD Bank (Greenville, SC)
    …College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series… more
    TD Bank (07/31/25)
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  • Regional Supervision Officer (RSO) - PNC…

    PNC (Pittsburgh, PA)
    …changes in firm policy, procedure and the regulatory environment. This role requires the FINRA series 7 , 66 (or equivalent 63/65), 24 (or equivalent 9/10). As an ... broker-dealer subsidiary of PNC Bank. This role works with Compliance , Central Review Desk and Regional Sales Managers to...all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65) and FINRA Series… more
    PNC (07/09/25)
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