- 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
- Coinbase (Madison, WI)
- …customers. *Nice to haves:* * Experience supporting a retail (fully disclosed) introducing broker. * JD , Series 7 , Series 24. * Experience working at ... requirements):* * 7 + years experience working in a retail broker-dealer compliance team. * Comfortable working in a fast-paced environment with high levels of… more
- MUFG (Irving, TX)
- …**Qualifications:** + Bachelor's degree required, advanced degree ( JD , MBA preferred) + 5- 7 years of Compliance and Control Room experience required + FINRA ... position shall be responsible to ensure that an effective compliance program is developed and maintained to address ...and written) + Experience with Excel or Access + Series 7 a plus The typical base… more
- Insight Global (Dallas, TX)
- …Requirements *Bachelor's degree required; JD , MBA, or other advanced degree a plus. *FINRA Series 7 , 24 and 63 are required *5+ years of compliance ... seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in...space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the… more
- JPMorgan Chase (New York, NY)
- … compliance , supervision, controls, risk or audit experience + Minimum licensing requirement: FINRA Series 7 and Series 24 + Strong attention to detail + ... of business and regions. **Job responsibilities** + Collaborate with Compliance and Legal teams in order to help ensure...skills** + Bachelor's Degree preferred in a business-related discipline; MBA/ JD is preferred + Additional FINRA Series … 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
- Truist (Philadelphia, PA)
- …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
- Amazon (Culver City, CA)
- …for the creation and distribution of original music for Movies and Series , including deals with composers, songwriters, music supervisors, recording artists, music ... finance, legal, and creative teams. * Monitoring and ensuring compliance with studio precedent, policies and procedures. A day...team The Music BA Team is made up of 7 Executives globally, supporting all types of original production… more
- National Park Service (Page, AZ)
- …position appropriate for temporary appointment with the same qualification requirements (5 CFR 316.402[b][ 7 ]), based on series and grade, anywhere in the major ... Recreation Area and is part of the Planning & Compliance Division. These positions may be filled for a...leading to such a degree, -OR- An LL.B. or JD , if related. Please Note: One year of full-time… more
- JPMorgan Chase (Philadelphia, PA)
- …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
