- Raymond James Financial, Inc. (Memphis, TN)
- …(FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9/10_SU - Gen Sec Sales Supervisor - Financial ... for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy… more
- City of Missoula, MT (Missoula, MT)
- Transportation Engineer Series Print (https://www.governmentjobs.com/careers/missoulacity/jobs/newprint/4717886) Apply Transportation Engineer Series Salary ... procedures and regulations. + Knowledge of and ability to apply compliance standards and design guidelines, including American Association of State Highway… more
- JPMorgan Chase (Detroit, MI)
- …+ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- MetroLink (Los Angeles, CA)
- …CHARACTERISTICS Compliance Officer I: This is the entry level in the Compliance Officer series . At this level, assignments are generally limited in scope ... II: This is the career level of the Operations Compliance Officer series . At this level, the...10-day work period, you work eight 9-hour days, one 8 -hour day and have one day off. Your day… more
- State of Colorado (Teller County, CO)
- Compliance Investigator I (Cripple Creek) Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4902201) Apply Compliance Investigator I ... investigations into unlicensed and criminal activities within casinos. + Conducting compliance inspections. + Providing educational services to licensees and the… more
- State of Colorado (Lakewood, CO)
- Compliance Investigator I - (Lakewood) Liquor & Tobacco Enforcement Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4923678) Apply ... Compliance Investigator I - (Lakewood) Liquor & Tobacco Enforcement...Personnel Board Rules and Personnel Director's Administrative Procedures, Chapter 8 , Resolution of Appeals and Disputes, at spb.colorado.gov/board-rules .… more
- Huntington National Bank (Charlotte, NC)
- …and implement strategic initiatives. Required Qualifications: + Bachelor's degree + 8 + years of experience supporting compliance and/or regulatory oversight ... Description Summary: The Insurance Compliance and Risk Spec - Sr serves as...or complex issues related to a regulation or a series of regulations and the potential risks impacting a… more
- PNC (Austin, TX)
- …industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with ... with Senior Management for the alignment of department's strategic goals. Licenses Required: SIE, Series 52 & 63, Series 53 (79 optional). Other licensing may be… more
- PNC (New York, NY)
- …organization, you will be based in New York, NY. Finra licensed required: SIE, Series 7 and 63. Required within 120 days of hire. Preferences: Extensive background ... markets in designated customer products and manages portfolio risk. Enforces team's compliance with risk and regulatory requirements. May be responsible for a team… more
- State of Colorado (Denver, CO)
- Health Compliance Inspector, Home Care Services - FAA01037 (HP...(2) weeks after a second dose in a two-dose series of the COVID-19 vaccine, such as the Pfizer ... III) Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4925745) Apply Health Compliance Inspector, Home Care Services - FAA01037 (HP III) Salary… more