- Atria Wealth Solutions (Dublin, CA)
- …and minimize credit union liability. + Ensure that the operations of Patelco Financial Solutions comply with all applicable compliance and regulatory standards. ... or Series 9/10 Securities Registrations equivalent required. + Previous Financial Advisor experience preferred + Advanced Industry Designations preferred - such… more
- First Horizon Bank (Greensboro, NC)
- …clients on building, preserving, and managing their wealth. You will utilize our financial planning strategy to advise prospects on all aspects of their balance ... using a team approach to deliver solutions to client's financial needs and to enhance existing relationships. + Thrives...legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance … more
- Wells Fargo (Burlington, VT)
- …work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Bank of America (Charlotte, NC)
- …to learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one ... to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial ...crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Demonstrates… more
- Wells Fargo (Charlotte, NC)
- …work experience, training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …progress, track milestones, and provide regular updates to senior leadership. + ** Compliance & Risk Management:** Ensure all transition activities comply with FINRA, ... SEC, and internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk and maintain audit readiness. + **Team Leadership & Development:**… more
- Veterans Affairs, Veterans Health Administration (Jamaica Plain, MA)
- …523-F05520_Social_Worker_PATC_MC__GS-0185-11 Permanent Change of Station (PCS): Not authorized Financial Disclosure Report: Not Required Requirements Conditions of ... 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. (4) Full Performance Level Assignments. This… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …business outcomes, ie, key performance indicators (KPIs) and resource budgets ( financial and headcount); and ensure integration of key activities or projects ... enable the organization to achieve its business objectives. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC… more
- PNC (PA)
- …position. **Job Description** + Bi-Lingual Spanish preferred. + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory ... documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management… more
- Wells Fargo (Charlotte, NC)
- …work experience, training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 9/10 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more