- Access Dubuque (Dubuque, IA)
- …public. + Other duties may be assigned by the Department Chair. **Required Qualifications:** + JD ( Juris Doctor ) from an accredited law school or Ph.D. in ... promotes to the fullest, equal employment opportunity through affirmative action. In compliance with the Clery Act of 1998, the University of Wisconsin-Platteville… more
- SMBC (New York, NY)
- …compliance 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 ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- Veterans Affairs, Veterans Health Administration (Columbia, MO)
- …analyzing, documenting and tracking program data from beginning to end ensuring program compliance . Lead consultant for the VAMC Report Card data related to the C&P ... or administrative support personnel as appropriate. Ensuring initiation, completion and compliance of FPPE and OPPE clinical evaluations to include providing… more
- BMO Financial Group (New York, NY)
- …all regulations, directives and guidance which apply to the group(s) supported. **Qualifications:** + ** Series 7 , SIE, and 24 required.** ** Series 57, 63, ... The BMO Capital Markets Compliance team is hiring for a CCO of...years of relevant experience and a post-secondary degree (ie JD , MBA) in related field of study or an… more
- City National Bank (New York, NY)
- …experience * Minimum 10 plus years of experience in U/HNW segment * FINRA Series 7 , 63, and 24 securities licenses required. * SAFE Act Registration ... solution knowledge * Excellent business development and relationship management skills * FINRA Series 7 , 63, and 24 securities licenses required. * May possess… more
- City National Bank (West Hollywood, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Veterans Affairs, Veterans Health Administration (Roseburg, OR)
- …to and supervised by the C&P Manager. Responsibilities The incumbent ensures compliance with VHA policies, directives, memos and notices of The Joint Commission ... in drafting local credentialing processes and Medical Staff Bylaws in compliance with all applicable regulations. Receiving and reviewing VetPro reports detecting… more
- Truist (Charlotte, NC)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- JPMorgan Chase (New York, NY)
- …Compliance functions to ensure best practices **Required qualifications, capabilities, and skills:** + Series 7 , 9, 10, 66 and SIE licenses required + A ... Excel **Preferred qualifications, capabilities, and skills:** + Bachelor's degree required; MBA, JD or CFA or other professional designation strongly preferred. + … more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Accident and Health Insurance License required. + CFP, ChFC, JD , CPA or similar designation currently held of actively… more