• Merrill Market Client Relationship Manager

    Bank of America (San Diego, CA)
    …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... daily operations of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures + Driving business… more
    Bank of America (07/29/25)
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  • Deputy District Attorney I/II/III

    Ventura County (Ventura, CA)
    …also be eligible for the following: + General Salary Increases - 3.5% effective November 9 , 2025. + Educational Incentive - 2.5%, 3.5%, or 5% based on the completion ... fraud, environmental crimes, and other specialized cases, including code compliance and asset forfeiture - check restitution program. The...Candidates appointed at the lower levels of the class series may be promoted to higher levels within the… more
    Ventura County (06/02/25)
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  • Wealth Regional Supervisor

    Truist (Richmond, VA)
    …disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be ... or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series ...regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible… more
    Truist (08/02/25)
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  • Advisor, Supervision - Annuity & Insurance

    Raymond James Financial, Inc. (Denver, CO)
    … Series 7, 24 and 63, Series 66 can be used in lieu of the 63, o Series 9 and 10 can be used as an equivalent to the 24 * State Insurance License in which ... moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through the… more
    Raymond James Financial, Inc. (06/12/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ SIE required provided that an exemption or grandfathering cannot be applied. + Required to have a Series 7, 9 , 10 and 63 + Series 24, 53 and 4 can be ... use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA &...used instead of the 9 and 10 + Series 66 can...used instead of the 9 and 10 + Series 66 can be used instead of… more
    Raymond James Financial, Inc. (07/04/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Charlotte, NC)
    …disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be ... or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for… more
    Truist (07/08/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Richmond, VA)
    …disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be ... team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal...+ Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for… more
    Truist (07/08/25)
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  • Auditor I (Cripple Creek) - Division of Gaming

    State of Colorado (Teller County, CO)
    …Audit Manager in completing revenue audits and conducting all aspects of compliance audits of licensees. Assignments are structured and performed with direction and ... train positions for a higher level in the class series . This position will also perform duties that may...appointing authority or supervisor. Primary Duties: Revenue Audits and Compliance Reviews + Examine records and interview licensee staff… more
    State of Colorado (07/25/25)
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  • Social Worker

    Veterans Affairs, Veterans Health Administration (Ann Arbor, MI)
    …patients and the impact of psychosocial problems on mental health care and compliance with treatment. May provide orientation and coaching to new social workers and ... of identification will 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… more
    Veterans Affairs, Veterans Health Administration (08/01/25)
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  • Senior Social Worker

    Veterans Affairs, Veterans Health Administration (Philadelphia, PA)
    …of HUD-VASH apartments to ensure that veterans reside in safe environments in compliance with local housing codes. Verify the veteran's status, eligibility for VA ... Ethics, and local Ethics policies, which includes but is not limited to compliance with all laws and regulations related to confidentiality and release of… more
    Veterans Affairs, Veterans Health Administration (07/21/25)
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