- Wells Fargo (Charlotte, NC)
- …of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA recognized equivalents) + FINRA registration including ... AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product...is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations,… more
- Wells Fargo (Minneapolis, MN)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9/10, and 63 examinations (or FINRA recognized equivalents) ... risk, supervisory, and human capital matters + Collaborate with supervision, legal, compliance , human resources, credit, risk, branch, and hub leadership to identify… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA &...grandfathering cannot be applied. + Required to have a Series 7 , 9, 10 and 63 +… more
- Wells Fargo (Philadelphia, PA)
- …strong sales performance + Excellent relationship management skills + Successfully completed FINRA Series 7 and 66 (or FINRA equivalents) exams to qualify for ... Banking - Professional Services functional area, policies, procedures, and compliance requirements that influence and lead a broader work...including additional screening, if necessary + Registration for FINRA Series 7 and Series 66… more
- NBC Universal (New York, NY)
- …is a full-service production company that focuses on documentary features and series , narrative podcasts and scripted adaptations of NBC News IP. Leveraging the ... of editorial intellectual property, Studios develops and produces premium documentary series , specials and films for distribution on NBCU and third-party platforms.… more
- Charles Schwab (Mount Pleasant, SC)
- …may be the opportunity for you. **What you have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 ... with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If...a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained… more
- Wells Fargo (Beverly Hills, CA)
- …experience + Knowledge of traditional banking products + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents) **Job Expectations:** ... (FINRA) license (s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be completed within either… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 9/10 examinations (or FINRA recognized equivalents) ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more
- Ventura County (Ventura, CA)
- …+ Annual Leave Redemption -After 14,560 hours of continuous County service (equivalent to seven ( 7 ) years) an employee may elect to "cash in" or redeem up to 80 ... RMA includes five divisions: Environmental Health, Planning, Building &Safety, Code Compliance , and Operations/GIS. RMA recognizes the value of having a diverse… more
- Veterans Affairs, Veterans Health Administration (Reno, NV)
- …of patients and the impact of psychosocial problems on health care and compliance with treatment. The provides supervision to MSW health professional trainees (HPT) ... be required to complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued dentification cards that… more
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