- 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 ... standards. **Qualifications:** + 5-8 years of relevant experience + Required licensing/registration: Series 7, Series 9, Series 10, Series 63 +… more
- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... + Ensure risks and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain regular interaction with … more
- TD Bank (New York, NY)
- …of conduct and maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of conduct + Leads, ... Market share + Leads in a manner that strengthens compliance with all regulations, policies and procedures that apply...+ Certified Financial Planner (CFP) designation is preferred + Series 7, Series 63 + 65 or… more
- Wells Fargo (New York, NY)
- …financial accounting, credit analysis, valuation, and modeling. You will also prepare for Series 63, 79, and SIE license exams. Following training, you will step ... involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must be completed… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- Wells Fargo (New York, NY)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- M&T Bank (New York, NY)
- …to ensure properly developed models. + Run regressions (including time series and logistic regression), programming routines and other econometric analyses to ... and management of predictive statistical models. + Conduct business in compliance with regulatory guidance including SR (Supervision and Regulation Letters) 10-1,… more
- Defense Commissary Agency (NY)
- …for additions, deletions, or changes to contractor services to ensure compliance with DeCA directives. Approves or rejects contractor's work schedule and ... You must meet the Office of Personnel Management (OPM) qualifications for series 1101 and additional requirements by the announcement closing date. Your resume… more
- ATP Flight School (Ronkonkoma, NY)
- …inspections of aircraft wing and wing attach structures using Olympus Nortec 500/600 Series eddy current flaw detectors. The ideal candidate will play a critical ... on aircraft wing and wing attach structures, primarily utilizing Nortec 500/600 Series eddy current flaw detectors to SAE ARP4402 standards. + Interpret and… more
- Bank of America (New York, NY)
- …participants who require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP participants and ... with sales and building, leading, managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series … more