- USAA (Tampa, FL)
- …Carrier appointments within 90 days of job entry. RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53), and/or ... apart: US military experience through military service or a military spouse/domestic partner Current/Active FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53)… more
- Charles Schwab (Tysons Corner, VA)
- …or CFP highly preferred Bachelor's degree highly preferred Required Qualifications Active & valid FINRA Series 7 license Active & valid FINRA Series 66 ... the best outcomes for clients. Exhibits strong culture of compliance , adherence to policy and Schwab's high standards Demonstrates...license Active & valid Life & Health insurance 7 + years financial services industry experience 2+ years Ultra-… more
- USAA (Tampa, FL)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license . Required maintenance of FINRA Series 66 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. What you have: High School Diploma or… more
- Charles Schwab (Westlake, TX)
- …(may consider 24 month condition of employment) Bachelor's Degree required Active and valid FINRA Series 7 license required Active and valid FINRA 66 ... execution that is being provided to SWAI clients. This includes performing the compliance and administrative tasks inherent in our industry. What you have We place… more
- Post Holdings Inc. (West Jefferson, OH)
- …3. Attends and actively participates in safety meetings/trainings. 4. Ensures regulatory compliance at all times. 5. Responsible for assisting in stocking all ... raw products and materials to and from production areas. 7 . Responsible for recording and reporting any equipment problems...to recognize similarities and differences between words and between series of numbers. Ability to print and speak simple… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Medicine Family Medicine - Centerfield Clinic Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- Robert Half Finance & Accounting (Houston, TX)
- …essential. + Licensing: A valid FINRA Series 7 is required, and Series 24 license is preferred. + Analytical Skills: Proven ability to analyze complex ... Rule 206(4)- 7 (Investment Adviser Compliance Programs) is...FINRA Series 7 is required, and Series 24 license preferred. + Excellent written and… more
- Raymond James Financial, Inc. (New York, NY)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area required or the ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain… more
- Vanguard (Malvern, PA)
- …(eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7 , 14, 24 or 65, 66). (must obtain within 6 months if not ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- First Horizon Bank (Memphis, TN)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... site at location listed in job posting **SUMMARY** The Senior Risk Compliance Officer supports First Horizon Bank's internal control framework by designing,… more
