- Raymond James Financial, Inc. (Carmel, IN)
- …duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains and supervises ... day to day operational functions and how to ensure compliance with firm and regulatory policies and procedures. The...66 (or 63 and 65) required.** **Ability to obtain Series 9 & 10 within six (6)… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational… more
- Veterans Affairs, Veterans Health Administration (Evansville, IN)
- …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 ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...for licensure/certification examinations. This exception only applies at the GS- 9 grade level. For the GS-11 grade level and… more
- Citigroup (Getzville, NY)
- …maintain these standards. **Qualifications:** + 5-8 years of relevant experience + Required licensing/registration: Series 7, Series 9 , Series 10, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Huntington National Bank (Chicago, IL)
- …account information and/or transaction details in relevant systems and ensures compliance with standard regulations and processes + Delivers scalable, repeatable ... + B achelor's degree or High School Diploma with 9 years of Investments/Financial Services + 5 or more...obtain within 12 months of hire the FINRA SIE, Series 7 and Series 63 + 1… more
- Atria Wealth Solutions (Dublin, CA)
- …63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. + Series 24 or Series 9 /10 Securities Registrations equivalent required. + ... Patelco has grown from $500 in assets to over $ 9 billion in assets and is the 7th largest...+ Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. +… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related… more
- ATP Flight School (Concord, NC)
- …You will have to be located at or willing to relocate to one of the 9 maintenance locations. DAB, PIE, CRG, FTM, FFC,LZU, JQF, HEF or ISP airport. Additional address ... inspections of aircraft wing and wing attach structures using Olympus Nortec 500/600 Series eddy current flaw detectors. The ideal candidate will play a critical… more
- Bank of America (New York, NY)
- …building, leading, managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series 9 & 10 ... participants who require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP participants and… more
Recent Jobs
-
Desktop Support Specialist
- University of Miami (Coral Gables, FL)
-
Manager Telecom
- Lambert's Cable Splicing Company, LLC (Rocky Mount, NC)
-
Grants Manager
- Touro University (Hawthorne, NY)
-
Neurologist-Movement Disorders
- Catholic Health Initiatives (Omaha, NE)