- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... tight deadlines + Excellent verbal and written communication skills + FINRA Series 7 and 66 preferred **Education:** + Bachelor's/University degree or equivalent… more
- Warner Bros. Discovery (New York, NY)
- …Turner Classic Movies, Cartoon Network and more delivering the greatest array of series , movies, and specials for audiences of all ages. HBO Max originally launched ... page (https://careers.wbd.com/global/en/accessibility) for instructions to submit your request. In compliance with local law, we are disclosing the compensation, or… more
- Scotiabank (New York, NY)
- …and support our clients + Coordinate with internal teams including legal, tax, compliance , internal controls + Liaise with outside counsel for ongoing business and ... and system upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 6+ years of experience in structured sales +… more
- Warner Bros. Discovery (New York, NY)
- …Turner Classic Movies, Cartoon Network and more delivering the greatest array of series , movies, and specials for audiences of all ages. HBO Max originally launched ... page (https://careers.wbd.com/global/en/accessibility) for instructions to submit your request. In compliance with local law, we are disclosing the compensation, or… more
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... control issues with transparency. **Qualifications:** + 1-3 years of relevant experience + Series 7, 79 and 63 licenses + Consistently demonstrates clear and concise… more
- M&T Bank (Buffalo, NY)
- …long-range strategic direction of the group to support business initiatives and regulatory compliance . This is a great opportunity to be part of a highly dedicated ... key aspects of model development for behavioral/quantitative models, including time series , scorecard, logistic regression, financial valuation or panel data models… more
- Bank of America (Buffalo, NY)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations required with… more
- Vernon Downs (Vernon, NY)
- …of information by attending regularly scheduled departmental meetings. * Maintains a series of non-critical keys, accessing locked areas as necessary. * Accepts ... from all persons who appear to be under the legal age, to ensure compliance with state and federal gaming regulations. * May be designated as officer-in-charge to… more
- JPMorgan Chase (New York, NY)
- …clients, serving as a senior advisor and trusted partner. + Ensure compliance with all regulatory requirements and internal policies, setting the standard for ... and strong decision-making capabilities. Preferred qualifications, capabilities, and skills: + Series 7 and 63 licenses required; additional certifications are a… more
- Greenlight Networks (Rochester, NY)
- …directional drilling equipment to install underground infrastructure while ensuring compliance with safety and company standards. Essential Functions: + Operate ... + 2-5 years of directional drill locating experience - preferably DCI F series locators. + Valid driver's license required. + CDL-A license preferred. + Strong… more