- 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
- Navy Federal Credit Union (Pensacola, FL)
- …review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by ... Firm as well as activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC,… more
- Robert Half Finance & Accounting (New York, NY)
- …Global Investment firm based in midtown Manhattan New York. Our client requires 8 + years Investment and Broker Dealer Compliance experience within a Registered ... code of ethics and personal trade review. Holding FINRA Series 7, 24 or 14 Licenses are advantageous. The...and risk management outcomes are achieved Requirements Qualifications + 8 + years Investment and Broker Dealer Compliance … more
- State of Colorado (Gilpin County, CO)
- Compliance Investigator I (Central City) Division of Gaming Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4996947) Apply Compliance ... investigations into unlicensed and criminal activities within casinos. + Conducting compliance inspections. + Providing educational services to licensees and the… more
- State of Colorado (CO)
- Compliance Investigator I - (Lakewood) Liquor & Tobacco Enforcement Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/5004085) 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 under… 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 (Chicago, IL)
- …developing select client relationships. Provides superior client experience. Ensures compliance with risk and regulatory requirements. May assist Senior Leadership ... industry and market developments, deal flow and regulatory requirements. Enforces compliance with policies and regulations. Provides coaching and leadership to… more
- State of Colorado (Grand Junction, CO)
- GRAND JUNCTION, CO* LPN Health Compliance Inspector, Nursing Facilities - (HP III FAA00144) Print ... (https://www.governmentjobs.com/careers/colorado/jobs/newprint/5008056) Apply GRAND JUNCTION, CO* LPN Health Compliance Inspector, Nursing Facilities - (HP III FAA00144) Salary… more
- State of Colorado (Denver, CO)
- Registered Nurse Health Compliance Inspector Home Care - FAA00601 (HP III RN) Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/5002223) Apply ... Registered Nurse Health Compliance Inspector Home Care - FAA00601 (HP III RN)...(2) weeks after a second dose in a two-dose series of the COVID-19 vaccine, such as the Pfizer… more
- Ventura County (Ventura, CA)
- …functional areas of responsibility include, but are not limited to, compliance review, budgeting, grant accounting, cost accounting and financial analysis/reporting ... clerical staff. DISTINGUISHING CHARACTERISTICS: Each successive level in the Accountant series is distinguished by scope of independence and responsibility. The… more
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