- Veterans Affairs, Veterans Health Administration (Reno, NV)
- …needs of patients and the impact of psychosocial problems on health care and compliance with treatment. Provides coverage to other areas of Mental Health Service or ... Contact ###@VA.GOV, the EDRP Coordinator for questions/assistance. Learn more Financial Disclosure Report: Not required Requirements Conditions of Employment You… more
- Raymond James Financial, Inc. (Denver, CO)
- …units. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and ... and client suitability (all at a level consistent with the requirement of Series 24 licensing). + Company's working structure, policies, mission, and strategies. +… more
- ADP (Dallas, TX)
- …tools and resources made available to employees for their retirement and financial planning. Educates employees on plan benefits, plan resources, financial ... frequently discusses and educates on investment company products and processes financial transactions, **_they are required to successfully obtain and maintain their… more
- Veterans Affairs, Veterans Health Administration (Plymouth, MA)
- …#PDF01070 and PDF03515 Permanent Change of Station (PCS): Not Authorized Financial Disclosure Report: Not Required Notifications: This position is covered by ... 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
- Huntington National Bank (Charlotte, NC)
- …is an excellent career opportunity to lead and manage a team of Financial Advisors supporting a Retail Banking branch network. The HFA Region Manager oversees ... regional sales activities, regulatory compliance , field operational execution and care for HFA clients...staff. + Ensures sales staff is current regarding new financial instruments and techniques and can adequately present new… more
- Wells Fargo (Chicago, IL)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... delivers a comprehensive suite of capital markets, banking, and financial products and services to over 12,000 clients around...analysis, valuation, and modeling. You will also prepare for Series 63, 79, and SIE license exams. Following training,… more
- JPMorgan Chase (Chicago, IL)
- …teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to ... are functioning + Ensure timely and effective responses to compliance , supervision and audit examinations on a priority basis...perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life… more
- Wells Fargo (New York, NY)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... while developing the knowledge to understand function, policies, procedures, compliance , and risk management requirements for the Securities Sales...to 10% or as needed + Registration for FINRA Series 7 must be completed within 90 days of… more
- Wells Fargo (Charlotte, NC)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... + Consumer & Retail + Energy & Power + Financial Institutions Group + Healthcare + Industrials + Technology,...Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- City and County of San Francisco (San Francisco, CA)
- …state, and federal legislation, offering informed advice to senior management on compliance and financial impacts of new regulations. + Developing, implementing, ... a high level of expertise in various areas such as budgeting, financial , economic and data analysis, legislative and administrative policy, and contract… more