- Bank of America (New York, NY)
- …transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any ... the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Required...policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or … more
- Wells Fargo (New York, NY)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
- NBC Universal (New York, NY)
- …is a full-service production company that focuses on documentary features and series , narrative podcasts and scripted adaptations of NBC News IP. Leveraging the ... of editorial intellectual property, Studios develops and produces premium documentary series , specials and films for distribution on NBCU and third-party platforms.… more
- Citigroup (Getzville, NY)
- …operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...and concise written and verbal communication + Required Licensing/Registration: Series 7, Series 9, Series … more
- Wells Fargo (New York, NY)
- …while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and ... recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Wells Fargo (New York, NY)
- …while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and ... recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- General Atomics (Rome, NY)
- …of the US Government Industrial Security Programs (NISPOM 32 CFR Part 117, DOD 5205.07 series , DOD 5200.01 series , ICD series ) and a complete and thorough ... and contractors on appropriate action(s) to be taken to ensure compliance with the classified security program. This position performs Security responsibilities… more
- Raymond James Financial, Inc. (New York, NY)
- …key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational ... ensure adherence to regulatory requirements. + Performs periodic reporting on compliance and operational issues, as required. + Identifies and makes recommendations… more
- Truist (New York, NY)
- …and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include ... assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2.… more
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9, Series 10, Series 63 +… more