- Wells Fargo (New York, NY)
- …transfer upon hire. FINRA recognized equivalents will be accepted + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (Charlotte, NC)
- …+ Successfully completed the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE) exam **Desired Qualifications:** + Military ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Eversource Energy (East Berlin, CT)
- …by the Securities and Exchange Commission \(SEC\)\. This role ensures compliance with regulatory requirements and accounting standards, with a strong emphasis on ... and other required disclosures, for Legal review and filing\. + Ensure compliance with U\.S\. GAAP, SEC regulations, and FERC \(Federal Energy Regulatory… more
- Wells Fargo (Charlotte, NC)
- …long-term incentive awards. Job Expectations: + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (Tampa, FL)
- …Serve as a trusted partner to business, operations, development, risk and compliance teams providing database security subject matter expert (SME) guidance and ... a database activity monitoring (DAM) platform for security and audit compliance , including policy creation, event and trend analysis, performance monitoring and… more
- MUFG (Irving, TX)
- …Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management. GFCD works to ensure that our organization ... a team that contributes to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not limited… more
- Applied Research Solutions (Hill AFB, UT)
- …specifications for both hardware and software, for proper format, content, and compliance with program requirements and standards + Maintain a current drawing ... modification program issues + Prepare or assist with preparation of Time Compliance Technical Orders (TCTOs) to support configuration changes and inspections +… more
- MUFG (New York, NY)
- …and API/File connectivity. Responsibilities include ensuring secure access and compliance with regulatory standards while managing fraud risks. The candidate ... measurable growth and development are achieved. + Actively ensures compliance with the Bank's Business Standards of Conduct and...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- State of Massachusetts (Boston, MA)
- …to do business in the Commonwealth of Massachusetts - including compliance with Massachusetts laws, regulations and regulatory bulletins, financial licensing ... standards and compliance with analysis timelines. The licensing coordinator provides administrative...impact on the insurance marketplace. * Coordinate and record securities on deposit transactions between companies, the Massachusetts Office… more
- Federal Aviation Administration (Anchorage, AK)
- …Certification Safety Inspector (ACSI) responsible for 14 CFR Part 139 compliance for the Office of Airports (ARP), (Alaska). Responsibilities Performs multiple, ... airports including medium to large hub airports to ensure compliance with standards for 14 CFR Part 139 in...minor children may not hold stock or any other securities interest in an airline, aircraft manufacturing company, or… more