- Wells Fargo (Purchase, NY)
- …will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...license(s) may be required for ongoing employment in this position + This position is subject to… more
- Wells Fargo (New York, NY)
- …maintaining appropriate FINRA license(s) is required for ongoing employment in this position . Compliance with state law registration and licensing requirements ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and… more
- MTA (New York, NY)
- …10004 FULL/PART-TIME FUL L SALARY RANGE: $176,000 - $196,000 DEADLINE: Until filled This position is eligible for teleworking , which is currently one day per week. ... a safe and reliable commute, excellent customer service, and rewarding opportunities. Position Objective: The Senior Director, Debt Financing reports to the Deputy… more
- Wells Fargo (New York, NY)
- …Real Estate Securitization and Capital Markets ("RESCM") group within Wells Fargo Securities , LLC ("WFS") is the product group responsible for the structuring and ... rate CMBS, CRE CLO, and real estate ABS. The position will be actively involved in all aspects of...understanding of Investment Banking functional area, policies, procedures, and compliance requirements that influence and lead a broader work… more
- TD Bank (New York, NY)
- …in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, ... compliance , audit, and self-ID findings are remediated and customer... and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and… more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... securities clients? If you answered "Yes" to any of...Services group, you will provide federal tax consulting and compliance services to a clients in the banking and… more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... securities clients? If you answered "Yes" to any of...Services group, you will provide federal tax consulting and compliance services to clients in the banking and financial… more
- Wells Fargo (New York, NY)
- …brokerage, futures & OTC clearing, bilateral derivatives, foreign exchange, repo, securities financing, and secondary loan trading. + Conduct due diligence with ... internal credit memos, inputting financial data and tracking covenant compliance , and inputting credit limits in firm systems. +...travel up to 10% or as needed + This position is subject to FINRA Background Screening Requirements, including… more
- Wells Fargo (New York, NY)
- **About this role:** The Senior Lead Securities Quantitative Analytics Specialist is an Executive Director level role within the Corporate & Investment Banking ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more