- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. + Series 63, 65 ... of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and… more
- Raymond James Financial, Inc. (Memphis, TN)
- …for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy ... framework. **Skills:** + Uses expertise to act as organizational authority on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. + Applies expertise to act as the organizational authority on developing… more
- State of Michigan (Marquette, MI)
- Park & Recreation Ranger 9 (Van Riper State Park) Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/5045271) Apply Park & Recreation Ranger 9 ... Job Number 7501-25-PARK-189 Department Natural Resources Opening Date 08/26/2025 Closing Date 9 / 9 /2025 11:59 PM Eastern Bargaining Unit MICHIGAN STATE EMPLOYEES… more
- State of Colorado (Denver, CO)
- Policy and Compliance Director - Vehicle Services Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/5057209) Apply Policy and Compliance ... Vehicles - Vehicle Services Opening Date 08/26/2025 Closing Date 9 /5/2025 5:00 PM Mountain FLSA Determined by Position Type...Job The Vehicle Services Program (VSP) exists to ensure compliance with the laws that govern the vehicle titling… more
- Aegon Asset Management (Cedar Rapids, IA)
- …specifically with 2 years of experience in both the securities industry and Advertising Compliance . + FINRA Series 7/24 + At least 1-year of managerial ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...an integrated, diversified, international financial services group serving approximately 23. 9 million customers worldwide. * For more information, visit… more
- MetroLink (Los Angeles, CA)
- …DISTINGUISHING CHARACTERISTICS This is the entry level in the Contract and Compliance Administrator series . At this level, assignments are generally limited ... Special Services Employee (TEMP - Contract & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5052293) Apply Special Services… more
- Huntington National Bank (Columbus, OH)
- …activities. + Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs. + ... and MSRB rules and regulations with emphasis on Regulation 9 , the 1940 Investment Advisors Act and the 1934...or larger organization. + 10+ years of progressively responsible compliance /securities industry experience required. + Series 7… more
- Access Dubuque (Dubuque, IA)
- Director of Compliance **University of Wisconsin-Platteville** 1 Positions ID: 80485 Posted On 09/02/2025 **Job Overview** The **Director of Compliance ** directs ... compliance policy creation, decision-making, and a compliance program, and acts as the compliance ...seeks diversification of the student body, faculty and staff. 9 . Serve as an educational, cultural and economic development… more
- Truist (Richmond, VA)
- …(United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance ... to meet regulatory requirements. 3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions. 4.… more
- State of Colorado (Arapahoe County, CO)
- TEMPORARY AIDE - Compliance Investigator I (Division of Racing Events) Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4855091) Apply ... TEMPORARY AIDE - Compliance Investigator I (Division of Racing Events) Salary $30.00...$30.00 Hourly Location Arapahoe County, CO Job Type Temporary ( 9 months or less) Job Number TAA-80890-03.2025 Department Department… more