- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… more
- Robert Half Finance & Accounting (New York, NY)
- …regulatory filings, marketing review, code of ethics and personal trade review. Holding FINRA Series 7 , 24 or 14 Licenses are advantageous. The role is 3 ... Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm...code of ethics and personal trade review. + FINRA Series 7 , 24 or 14 Licenses are… more
- Ventura County (Ventura, CA)
- …to employees in this classification who possess and maintain a valid, current CPA license or certificate. + Flexible Workweek - A compressed work schedule (eg, 9/80 ... functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting… more
- First Horizon Bank (Naples, FL)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... Asheboro, NC, Knoxville, TN, Naples, FL** **SUMMARY** The Risk Compliance Manager is responsible for assisting in the design...and practices to ensure the business unit is in compliance with federal, state and local regulatory requirements. The… 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
- Raymond James Financial, Inc. (Southfield, MI)
- …+ Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), Series ... a high level of customer service. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred...grandfathering cannot be applied. + Required to have a Series 7 , 24 (within 90 days of… more
- Raymond James Financial, Inc. (Southfield, MI)
- …related questions and concerns from the investment teams as well as internal support departments. * Series 7 , Series 65/66 & Series 24 Licenses required. ... and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred...grandfathering cannot be applied. * Required to have a Series 7 , 24 and 66 * … more
- Citigroup (Queens, NY)
- …skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7 ; Series 63 + Series 65 (or ... the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital...Series 66); Series 9 + Series 10 (or Series 24, Series… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and 9 & 10 (or 8) required. + Series ... profitability while maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and… more
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