- Equitable Advisors (Milwaukee, WI)
- …Supervise advertising, correspondence, outside business and DBA activities. Conduct Financial Professionals' compliance audits, including review of business ... practices and inspection of physical locations Ongoing Financial Professional compliance training. The base salary...Rewards Program Qualifications Required Qualifications 1+ Years experience in Compliance roles FINRA Series 7, 65 or… more
- Naval Supply Systems Command (Virginia Beach, VA)
- …experience must demonstrate the following: 1) Analyzing data/information to ensure compliance with financial /supply policies and procedures supporting plans, ... Summary You will serve as a FINANCIAL MANAGEMENT ANALYST within NAVY EXCHANGE SERVICE COMMAND. This job is open to Internal to an agency Current federal employees of… more
- PNC Financial Services Group, Inc. (Houston, TX)
- …transaction activity of the deal team including pipeline management and financial reporting. *Works strategically with bankers, underwriting syndicate, sales team, ... industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with… more
- Montgomery County, MD (Rockville, MD)
- …of Permitting Services Division: DPS 75 Residential Construction and Fire Code Compliance Opening Date: 08/22/2024 Closing Date: Continuous FLSA: Exempt About the ... and outreach; land development; residential construction and fire code compliance ; and zoning and code compliance . From...they are eligible for the non-competitive promotion through the series to the , Grade 23. The expected salary… more
- Wells Fargo (Los Angeles, CA)
- …effective relationships with customers and partners Desired Qualifications: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... sales practices risk management culture Current registration for FINRA Series 6 and Series 63 (or FINRA...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Wisepath Group (Overland Park, KS)
- Wisepath Financial Group DBA Strategic Financial Concepts (SFC) Are you a Financial Advisor seeking greater autonomy, unlimited earning potential, and the ... of restrictive quotas, capped commissions, and limited product portfolios? Join Strategic Financial Concepts (SFC) , where we address common industry pain points by… more
- Cover Genius (New York, NY)
- The Company Cover Genius is a Series E insurtech that protects the global customers of the world's largest digital companies including Booking Holdings, owner of ... been recognized with dozens of awards including by the Financial Times which ranked Cover Genius as the #1...Perfect, Traditional, Complacent or Cautious As a Risk and Compliance Manager within our Risk Management Team, you will… more
- Annex Wealth Management (Brookfield, WI)
- …in excel and procedure writing Required - 2-5 years of experience in a compliance role within the financial services industry Proven experience in risk ... Show" on WHBY and WFSX. About the Role The Compliance Specialist will handle compliance testing, surveillance,...skills with a high level of attention to detail Series 65 qualifications, or equivalent preferred (or willing to… more
- Bank of America (Houston, TX)
- …legacy, and other life goals through investment advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the ... with the market leadership team, Market Executives, Resident Directors, Financial Advisors, Wealth Management Client Associates, and Wealth Management Associates… more
- University Federal Credit Union (Manor, TX)
- About the Job As a Personal Financial Representative, you will engage with our Members and prospective Members to identify needs and educate them on products and ... services that will improve their financial wellbeing and quality of life. Eager to build...buyer's checks, temporary checks, Statements, and direct deposit letters Compliance Performs other duties as assigned. Adhere to all… more
Recent Jobs
-
Clin Sls Supt Spec
- Canon USA & Affiliates (Salem, OR)
-
Associate Director
- CBRE (Radnor, PA)
-
Building Automation Systems (BAS) Project Specialist (Engineer III)
- Fairfax County Sheriff's Office (Fairfax, VA)
-
InSite Technician
- Clean Harbors (Tualatin, OR)