- PNC (Madison, NY)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... developing select client relationships. Provides superior client experience. Ensures compliance with risk and regulatory requirements. May assist Senior...Derivatives - SIE, Series 7 and 63 within 120 days… more
- Guardian Life (Albany, NY)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health insurance license** + ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- SMBC (New York, NY)
- …resolved. + Must be well organized with project management skills. + BA/BS required. Series 7 , 79 a plus. SMBC's employees participate in a Hybrid workforce ... and Skills** Critical Job Knowledge and Core Competencies/Skills: + 4- 7 years of regulatory and/or advisory compliance ...+ 4- 7 years of regulatory and/or advisory compliance experience at a broker dealer. + A solid… more
- Citigroup (New York, NY)
- …skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7 ; Series 63 + Series 65 (or ... the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital...Series 66); Series 9 + Series 10 (or Series 24, Series… more
- Bank of America (New York, NY)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Citigroup (New York, NY)
- …including KYC and AML + Excellent verbal and written communication skills + Required US FINRA: SIE, Series 7 , Series 63 (or Series 66), and Series ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Veterans Affairs, Veterans Health Administration (Bath, NY)
- …Caregiver Support Program specific to his/her area of assignment and insures compliance and collaboration with local facility and the VA Central Office Caregiver ... and improve the program and processes. Work Schedule: M-F 7 :30am - 4:00pm Telework: Not available. Virtual: This is...or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7 , Series 9, Series 10, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (New York, NY)
- …area required or the ability to obtain within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days of employment o ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...Series 9 and 10 can be used instead of… more
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