- Capital One (New York, NY)
- …+ FINRA Series 7 and 24 licenses + Master's Degree or Juris Doctor from an accredited university + Knowledge of emerging technologies (eg, natural ... As the Director, Head of Surveillance, part of Capital One's Compliance organization you will manage Capital One's Electronic Communications Surveillance Program… more
- SMBC (New York, NY)
- …preferred but not required. Required Job Skills + Candidates must pass + Series 65, + Series 66 and Series 7 combined, or + Possess one of the following ... Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all...and be responsible for leading all components of the compliance program at an asset management firm in Manhattan,… more
- City National Bank (Walnut Creek, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Skills ... 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
- Truist (Mclean, VA)
- …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
- Truist (Asheville, NC)
- …with disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA: Series 7 , Series 66, Life, Health, and variable insurance ... 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 * 10 or more years of… more
- Truist (Chattanooga, TN)
- …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
- BMO Financial Group (New York, NY)
- …is desirable - MBA, CPA, or JD . + Professional certifications - SIE, Series 7 , and 24 or ability to obtain upon hiring **Location:** Required Location: ... and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of...Line of Defense to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests… more
- Truist (Houston, TX)
- …essential functions. * Bachelor's Degree required * FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight Preferred Qualifications: * MBA, JD , CPA, CFA or CFP * 5 years of… 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
- First Horizon Bank (Chattanooga, TN)
- …behalf **PREFERRED QUALIFICATIONS** + MBA, JD , CFA, or CFP preferred + Series 7 , 66 and Insurance licenses preferred + Proactive, takes initiative, and ... to meet the requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related regulations.… more
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