- Raymond James Financial, Inc. (St. Petersburg, FL)
- …o SIE required provided that an exemption or grandfathering cannot be applied. o Required to have a Series 7 and 66 o Series 7 and 65 can be used ... independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more
- Bank of America (Pennington, NJ)
- …and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge related to retail ... learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of… more
- Charles Schwab (Coral Gables, FL)
- …for bonus or incentive opportunities.** **What you have** **Required qualifications** + Active and valid Series 7 license + Active and valid Series 66 (or ... collaborating with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If you're looking… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7 , Series 9, Series 10, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Charles Schwab (Houston, TX)
- …be the opportunity for you. **What you have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 (63/65) ... with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If...a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained within a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level ... onboarding of new accounts, with a strong focus on compliance , client experience, and service quality. Oversee multiple functional...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Army National Guard Units (Flowood, MS)
- …Reviews a diverse variety of requisition packages for adequacy and compliance with administrative, regulatory, and procedural requirements and consistency with ... upon appointment and will be required to file annually. 7 . The incumbent must obtain and maintain secret security...All on-board Title 5 Excepted Service employees assigned to Series GS-1102 positions, must be certified at the next… more
- Ventura County (Ventura, CA)
- …+ Annual Leave Redemption -After 14,560 hours of continuous County service (equivalent to seven ( 7 ) years) an employee may elect to "cash in" or redeem up to 80 ... RMA includes five divisions: Environmental Health, Planning, Building &Safety, Code Compliance , and Operations/GIS. RMA recognizes the value of having a diverse… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and Series 99 within 120 days (as required by FINRA) is required. Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level registrations: ... and timely workflow with special regard to service delivery, compliance , and risk factors for the firm. + Establishes...Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
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