- CAE USA INC (Binghamton, NY)
- …to execute the cybersecurity program effectively and maintain security compliance + Develop system documentation for information system authorization, security ... which may introduce new service areas. + Conduct system audits and compliance /vulnerability scans and interpret results + Travel to offsite locations to establish… more
- Northwell Health (Forest Hills, NY)
- **Req Number** 166135 RESPONSIBILITIES * * * *1. Standards Compliance * Maintains current knowledge of and ensures compliance with all regulatory and ... the Nurse Executive to establish nursing care standards and evaluates staff compliance . * Identifies research protocols effecting the patient population served and… more
- JPMorgan Chase (Clifton Park, NY)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses are… more
- Citigroup (New York, NY)
- …of clients, ensuring the appropriate "Know Your Client" (KYC) and other compliance deliverables are met; + Identifies cross-sell opportunities to deepen and increase ... proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines...10+ years of experience + FINRA Licensing - SIE, Series 63 & 79 (current or ability to obtain)… more
- Citigroup (New York, NY)
- …execution and alignment across the firm. + Meticulously monitor covenant compliance and proactively manage the post-execution lifecycle of transactions. + ... tools. + Work closely with control functions, including Legal, Compliance , Market and Credit Risk, Audit, and Finance, to...book management. + Required licensing and registrations - SIE, Series 7, 63, 3 (or ability to achieve these).… more
- Citigroup (New York, NY)
- …to automatically price and trade Spread Product securities. Analyze financial time series data and other data source to extract valuable information for corporate ... with various functions, such as Business, Technology, Risk, and Compliance to ensure an efficient and safe automated market...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- Motion Recruitment Partners (New York, NY)
- …trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/ compliance , audit, or data/metrics backgrounds * Knowledge of the US regulatory ... * Time management skills. **Desired Skills & Experience** * FINRA registrations (eg, Series 7, 55, 63). * Experience or comfort with EDGAR filings and regulatory… more
- Scotiabank (New York, NY)
- …and objectives. The incumbent will ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. The goal is to ... to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but...to an inclusive work environment **What You'll Bring** + Series SIE, 7, 57, 63 + 10+ years of… more
- University of Rochester (Rochester, NY)
- …with community-based organizations to ensure participating students are in compliance with University policy and regulations. Tracks and manages multiple ... year-out application process for URSMD medical students. + Oversees year-out student compliance and manages evaluations for year-out students. (5%) + Manages student… more
- Marex (New York, NY)
- …trading to resolve settlement and corporate action related breaks. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as require + To...trading of corporate bonds and US treasuries. + FINRA Series 99 or willingness to acquire preferred. + Working… more