- Wells Fargo (New York, NY)
- …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
- Veterans Affairs, Veterans Health Administration (Reno, NV)
- …Contact ###@VA.GOV, the EDRP Coordinator for questions/assistance. Learn more Financial Disclosure Report: Not required Requirements Conditions of Employment You ... 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. References: VA Handbook 5005/120, Part II,… more
- PeaceHealth (Bellingham, WA)
- …available.** **Job Summary** Provides professional nursing direct patient care in compliance with professional practice and unit standards. Promotes a collaborative, ... is committed to the overall wellbeing of our caregivers: physical, emotional, financial , social, and spiritual. We offer caregivers a competitive and comprehensive… more
- JPMorgan Chase (Houston, TX)
- …entire team of bankers, advisors, region heads, product partners and compliance teams. **Job Responsibilities** + Provide Client Service Associates with guidance ... transactions accurately, within established deadlines, and in accordance with existing compliance policies and procedures + Research, follow-up and resolve escalated… more
- Comerica (Costa Mesa, CA)
- …(SSA) role is a position providing operational and sales support to multiple Financial Consultants (FC's) within their individual businesses, as well as to support ... office initiatives. The SA role assists one or more Financial Consultants (FC) in a Retail, High Net Worth,...position holds responsibilities in 4 primary categories: Sales Support, Compliance , Customer Service, and Teamwork. Some of the primary… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain...practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and… more
- Principal Financial Group (Des Moines, IA)
- …the privacy of, and access to employee and customer information in compliance with federal and state laws, and the organization's information privacy practices. ... and promote our internal privacy policies, standards, and resources. Ensure compliance with company privacy practices, privacy and security laws and regulations.… more
- Truist (Atlanta, GA)
- …sound risk management as the first line of defense by ensuring compliance with Bank policies for credit, underwriting, operational, regulatory, tax, legal procedures ... and policies. 3. Implement and execute on strategies in support of financial performance metrics and tactical plans for the Real Estate Corporate Banking segment by… more
- Raymond James Financial, Inc. (Rochester Hills, MI)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Branch Operations Manager ... day to day operational functions and how to ensure compliance with firm and regulatory policies and procedures. The...as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains… more