- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...information sharing. **What You'll Bring** + A minimum of 6 years of Corporate & Investment Banking, Capital Market… more
- State of Georgia (Clayton, GA)
- Environmental Compliance Specialist District Offices Georgia - Clayton - Forest Park ... (https://ga.referrals.selectminds.com/jobs/63779/other-jobs-matching/location-only) Hot ▾ ▸ 6 additional locations Georgia - Clarke - Athens Georgia - Richmond -… more
- Equitable (Charlotte, NC)
- …and Benefits: Equitable Total Rewards Program **Qualifications** Minimum Qualifications: * Bachelor's degree * FINRA Series 6 or 7 **and** 26 or 24 * 7 years of ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which… more
- State of Nevada (NV)
- COMPLIANCE /ENFORCEMENT INVESTIGATOR 2 APPROXIMATE ANNUAL SALARY - $80,053.92 to $120,122.64 PAY GRADE: 40 The salary range indicated in this announcement is based on ... Permanent, full time vacancy Department: Motor Vehicles (http://www.dmvnv.com/index.htm) Division: Compliance Enforcement Location: Las Vegas, Boulder City, Indian Springs,… more
- Vanguard (Malvern, PA)
- …require regulatory license and/or registration (eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7, 14, 24 or 65, ... of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and...66). (must obtain within 6 months if not currently held). + Certified Regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Experience Requirements** + Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial services industry ... them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead"...+ SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 24, and 63… more
- First Horizon Bank (Dallas, TX)
- …OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)** None required **About Us** ... of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal… more
- Wells Fargo (Mclean, VA)
- …development to meet business objectives and strategy **Required Qualifications:** + 6 + years of Financial Advisory experience, or equivalent demonstrated through one ... + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to… more
- Edward Jones (St. Louis, MO)
- …goals and objectives. + Series 7, 24 and 66 are required within 6 months of role. Read More About Skills/Requirements **Awards & Accolades** At Edward Jones, we ... Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000… more
- Ventura County (Ventura, CA)
- …the pay range upon completion of at least 1,040 hours (approximately 6 months) assuming work meets satisfactory standards. Subsequent merit increases within the ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more