- University of Rochester (Rochester, NY)
- …Manages all phases of project, from design through direct occupancy. Assures compliance with University standards and contract documents. This is the second level ... in a series of Project Manager titles differentiated by duration, budget,...phases of project, from design through direct occupancy. Assures compliance with University standards and contract documents. This is… more
- Citigroup (New York, NY)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series … more
- Citigroup (New York, NY)
- …partnership with Sales team, Product, Technology teams, Risk & Control team, Legal, Compliance & Audit in order to ensure appropriate governance and compliance ... and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to...is a plus. + Experience with Q/KDB or time series databases is desirable. + Good communication skills, both… more
- Nuveen Investments (New York, NY)
- …such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners ... internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to...Required; 7+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 63 **Physical Requirements** +… more
- Citigroup (New York, NY)
- …referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series … more
- BlackRock (New York, NY)
- …marketing and communications. The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance ... and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker-dealer, mutual fund, or ETF...Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and… more
- Citigroup (Hewlett, NY)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series … more
- M&T Bank (Buffalo, NY)
- …properly developed models. + Produce and run regressions (including time series and logistic regression), programming routines and other econometric analyses to ... Risk Management for model validation exercises. + Conduct business in compliance with regulatory guidance including SR (Supervision and Regulation Letters) 10-1,… more
- M&T Bank (Buffalo, NY)
- …development. + Employ common model methodologies such as logistic regression, time series , survival analysis, boosted trees and similar machine learning methods to ... chosen, candidate models, model performance. + Conduct business in compliance with regulatory guidance including SR (Supervision and Regulation Letters)… more
- Citigroup (New York, NY)
- …applicable **Qualifications:** + Relevant experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7, ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management +… more