- Raymond James Financial, Inc. (St. Petersburg, FL)
- …customers to identify, research, and resolve problems. Serves as a technical advisor to the Registrations department for certain programs. **Essential Duties ... knowledge and skills obtained through experience and training to support the Registrations department and its business partners. Collaborates with manager and team… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance with regulatory requirements for employee licenses and registrations , following established procedures to perform various tasks, and serving as ... **Description** _This position will follow our hybrid work model; we expect the selected candidate...and maintains registration record-keeping systems. + Ensures new hire registrations , personal status changes, and transfers are processed promptly… more
- Janus Henderson Investors (Denver, CO)
- …requirements + Experience marketing ETFs highly preferred + Understanding of compliance requirements for the advisor marketplace + Intermediary experience ... What to expect when you join our firm + Hybrid working and reasonable accommodations + Generous Holiday policies...subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee's… more
- Atria Wealth Solutions (Riverside, CA)
- …CUSO Financial Services, LP (CFS) is helping in their search for a Financial Advisor via this posting on our website. Wescom Financial Services, LLC is seeking a ... Financial Advisor in the Riverside CA area. We value and...Must stay current on WFS written supervisory procedures and compliance memos. + Required to work closely with RMSR's/… more
- Raymond James Financial, Inc. (Southfield, MI)
- …procedures handled at the retail level. * Communicates and coordinates with Registrations , Sales Management and Compliance departments to monitor, identify and ... **Description** ** Hybrid Work Environment:** 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office. **Job… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Raymond James Financial Private Client Group is hiring a Manager within the Advisor Onboarding Supervision team to manage the execution of the plan of supervision ... financial advisors and other staff to Raymond James through the firm's advisor onboarding process. The Manager of Onboarding Supervision reports directly to the… more
- SMBC (New York, NY)
- …its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the ... compliance program for an investment advisory firm in Manhattan,...the preparation and ongoing maintenance of all applicable regulatory registrations and filings (eg filing of Form ADV, etc.).… more
- Emerson (St. Louis, MO)
- …Operations and 3rd party vendors on complex tax issues and tax jurisdiction registrations /de- registrations + HR support on 401k, W4 and W2 topics including ... for payroll system in partnership with IT to ensure compliance with tax legislation + Facilitate root cause analysis...employees; liaison with AP on annual 1099 activities + Advisor on payroll taxation for creation/maintenance of deduction and… more
- Merck (Millsboro, DE)
- …at our company's Millsboro Animal Health facilities. This role is highly compliance -driven in accordance with State and Federal regulations as applicable to the ... + Establish and maintain departmental policies and procedures. Ensure compliance with governmental regulations, and corporate/site policies including safety and… more
- Research Foundation CUNY (New York, NY)
- …Academy for Community Behavioral Health (the Academy). Academy services include virtual and hybrid learning programs for 2,500+ learners per year from New York City ... knowledge of LMS features and functions. Serve as technical advisor to program teams + Work with program teams...tasks + Monitor trends in program data (eg user registrations , course registrations , course progress and completion).… more