- Thrivent Financial (OH)
- …in responsibility. + Advanced financial services designations a plus. + FINRA SIE, Series 7, 63/65 or 66 required or obtained within 90 days of hire/transfer. + ... within assigned territory as well as assist in some national assignments to Financial and lnvestment Representatives. The RIC is an external mutual fund wholesaling… more
- Citigroup (Miami, FL)
- …service and problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and ... credit and investment products. Ensure transactions are completed within audit and compliance standards as well as timely execution. + Be attentive and diligent… more
- Wells Fargo (Dallas, TX)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... role will educate and consult with Wells Fargo Investment Professionals ( Financial Advisors, Portfolio Managers, Investment Strategists) and their clients on the… more
- TD Bank (Manchester, NH)
- …and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic ... supported WML(s) + Ensures timely and effective response to Compliance , Central Supervision and Audit, Compliance or...+ Bachelor's Degree preferred, 5+ industry experience + FINRA Series 7, 24 and 66 (or equivalent) required +… more
- TD Bank (Marlton, NJ)
- …and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic ... supported WML(s) + Ensures timely and effective response to Compliance , Central Supervision and Audit, Compliance or...+ Bachelor's Degree preferred, 5+ industry experience + FINRA Series 7, 24 and 66 (or equivalent) required +… more
- Wells Fargo (Salt Lake City, UT)
- …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
- Wells Fargo (Salt Lake City, UT)
- …following: work experience, training, military experience, education + 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
- Mayo Clinic (Jacksonville, FL)
- …financial reporting. Interprets and implements accounting rules, fiscal compliance , policies and regulations. Proactively identifies opportunities and recommends ... Clinic Jacksonville campus.** This is the third in a series of four finance analyst roles in a multi-site,...compliance or fiscal management tools. Provides advanced analytical, financial , accounting, and compliance support to department… more
- Citigroup (Miami, FL)
- …long-term solutions for clients/prospects + Present and communicate to clients/prospects complex financial concepts and investment strategies in a way that is easily ... client's advocate and trusted advisor (primary contact) for strategic advice on financial matters + Create, organize, and implement a wealth management strategy… more
- State of Arkansas (Little Rock, AR)
- …with the administration of accounts payable/receivable and other fiscal duties. Maintain financial records and files in compliance with regulations. Serve as ... contact for fiscal-related questions and issues. Assist in audits and ensure compliance with financial standards. Knowledge and Skills Understanding of… more