- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance … more
- First Horizon Bank (Memphis, TN)
- …or Business + Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit + Series 7 and 63 licenses required + ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all… more
- Citizens (Johnston, RI)
- …+ Minimum of 6 years of industry experience in compliance or supervision is required. + Series 7 , Series 66 (or Series 63 and Series 65) and ... and approving various financial transactions, accounts, and activities, ensuring compliance with regulatory standards and internal policies, by meticulously… more
- Raymond James Financial, Inc. (TN)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and 63 Licenses Required - Must be able to be ... level. * Communicates and coordinates with Registrations, Sales Management and Compliance Departments to monitor branch and Financial Advisor status. * Reviews,… more
- University of Colorado (Aurora, CO)
- …Family Medicine Boulder Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Boulder Clinic** **Open Rank - Senior Instructor Series ** **Position #00829518: - Requisition #35707:** **Job Summary:** **1.0 FTE** **Examples… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …for Dependency, Addiction, and Rehabilitation (CeDAR) (Open Rank Professor Series )** **Description** **University of Colorado Anschutz Medical Campus** **School of ... for Dependency, Addiction, and Rehabilitation** **(CeDAR) (Open Rank - Professor Series )** **Position #00826737 - Requisition #34694** **This position may be… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a… more
- MTA (Brooklyn, NY)
- Transit Railcar Technology Specialist Series Job ID: 11431 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: Provisional ... Systems Engineering Work Location: 130 Livingston Street Hours of Work: 7 :30AM To 3:30PM (Schedules subject to change) COMPENSATION Salary Range: Transit… more
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