- City and County of San Francisco (San Francisco, CA)
- …challenging and complex projects that span areas such as budgeting, financial analysis, economic analysis, data analysis, legislative and administrative policy, and ... contract administration. Your responsibilities include evaluating policy, financial , program, and organizational issues, and presenting findings and recommendations… more
- BMO Financial Group (Walnut Creek, CA)
- …business objectives by providing effective operational support and management of sales compliance and regulatory requirements. + Fosters a culture aligned to BMO ... branch / portfolio. + Acts as a designee for the branch manager on compliance objectives within the branch. + Provides ongoing compliance education to assigned… more
- Wells Fargo (Charlotte, NC)
- …and regulations + Have responsibility to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with Financial ... work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and… more
- Defense Commissary Agency (San Diego, CA)
- …You must meet the Office of Personnel Management (OPM) qualifications for series 1101 and additional requirements by the announcement closing date. Your resume ... You must meet the Office of Personnel Management (OPM) qualifications for series 1101 and additional requirements by the announcement closing date. Your resume… more
- Veterans Affairs, Veterans Health Administration (Jamaica Plain, MA)
- …life/long-term care (many federal insurance programs can be carried into retirement) Financial Disclosure Report: Not required NOTIFICATIONS: This is a not a ... SF-50, (Notice of Personnel Action). The SF-50 must identify the position title, series , grade, step, tenure and type of service (Competitive or Excepted). In some… more
- Ventura County (Ventura, CA)
- …correspondence; + Prepares preliminary assessment district maps, and collects and prepares financial and technical engineering data for review and input; + Acts as ... (ie custom, Data Reviewer) or related tables, and utilizing joins to ensure compliance with business process and database standards; + Assists in maintaining the… more
- First Horizon Bank (Houston, TX)
- …Bloomberg application is a plus + Series 7 is a plus + Knowledge of financial /business terminology is a plus **About FHN Financial ** FHN Financial is an ... applications for services such as market evaluation, portfolio accounting, compliance and prospectuses. + Must have the ability to...manner if licenses are not already held - SIE, Series 7, Series 52 and Series… more
- TD Bank (Marlton, NJ)
- …all departments within the US Wealth organization, but specifically with Compliance , Legal, Distribution, Product, Risk, Operations, and Technology. **Depth & ... + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24...platform systems strongly preferred (ie, Global Relay, FIS Supervision Compliance Manager, Pershing, Envestnet, RegEd, etc.) + Ability to… more
- Wells Fargo (Los Angeles, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Raymond James Financial, Inc. (Memphis, TN)
- …preparation and review of tax documents and other regulatory filings, ensuring compliance with IRS and global tax regulations. + Collaborate with internal ... (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets. + Communicate… more