- SMBC (New York, NY)
- …experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7 , 24, 79 a plus. SMBC's employees participate in a Hybrid ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- USAA (Tampa, FL)
- …Carrier appointments within 90 days of job entry. RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53), and/or ... apart: US military experience through military service or a military spouse/domestic partner Current/Active FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53)… more
- Charles Schwab (Tysons Corner, VA)
- …CFP highly preferred Bachelor's degree highly preferred Required Qualifications Active & valid FINRA Series 7 license Active & valid FINRA Series 66 (63/65) ... the best outcomes for clients. Exhibits strong culture of compliance , adherence to policy and Schwab's high standards Demonstrates...license Active & valid Life & Health insurance 7 + years financial services industry experience 2+ years Ultra-… more
- First Horizon Bank (New Orleans, LA)
- …EQUIPMENT SKILLS Microsoft Office Suite, Salesforce CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc) None required. DeGarmo Behavioral ... service, and product knowledge meetings, training classes, and web-based learning. Compliance and risk management Expected compliance with bank regulations,… more
- HSBC (Miami, FL)
- …regulatory environment + Degree in Business, Finance or related field or equivalent experience + Series 7 and 66 Licenses, may allow for contingency to obtain ... Work style: Hybrid Worker Date: 20 Oct 2025 In compliance with applicable laws, HSBC is committed to employing...Series 7 and/or 66 within 60 days...Series 7 and/or 66 within 60 days of acquiring job… more
- Charles Schwab (Bellevue, WA)
- …consider 24 month condition of employment) Bachelor's Degree required Active and valid FINRA Series 7 license required Active and valid FINRA 66 license required ... execution that is being provided to SWAI clients. This includes performing the compliance and administrative tasks inherent in our industry. We believe in the… more
- Charles Schwab (Westlake, TX)
- …Schwab - Investor Services What you have Required Qualifications: SIE required, Series 7 preferred Understanding of the financial services industry and/or ... equivalent work related experience Solid understanding of regulatory and compliance policies associated with brokerage business Demonstrated experience handling… more
- Post Holdings Inc. (Wakefield, NE)
- …procedures. 5. Cross-trained in two sanitation jobs. 6. Report any equipment/mechanical problems. 7 . Able to use team efforts in inspection of entire area. 8. Report ... 10. Replaces gaskets 11. Making sure room is in compliance 12. Able to work weekends, holidays, and overtime...to recognize similarities and differences between words and between series of numbers. 2. Good communication skills. 3. Ability… more
- Neuberger Berman (Philadelphia, PA)
- …required, graduate degree a plus + CIMA, CAIA, or CFA designations a plus + SIE, Series 7 , 66 or SIE, 7 , 63, 65 licenses \#LI-JG3 \#LI-Hybrid Compensation ... Alternative Specialists, ETF Strategists, and other members of distribution, legal, compliance , and investments + Maintain knowledge of Neuberger Berman products… more
- HSBC (Bellevue, WA)
- …, Credit & Risk and Internal Control to ensure a balanced risk operating environment - Series 7 , 66 (or 63 and 65), Life and Health insurance licenses required - ... Bellevue, WA, US, 98004 Work style: Office Worker Date: 21 Oct 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized… more
