- Robert Half Finance & Accounting (New York, NY)
- …knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 ... trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous + Bachelor's Degree The Compliance … more
- MTA (Brooklyn, NY)
- Transit Management Analyst Series Job ID: 12880 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: Regular Department: NYC ... Aug 29, 2025 Description Job Title: Transit Management Analyst Series First Date of Posting: August 29, 2025 Last...Island Overhaul Shop Hours of Work: Various - primarily 7 :00 AM to 3:00 PM * Those who have… more
- Guardian Life (New York, NY)
- … compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7 ; 24 licenses required or obtained within 120 days. + A ... 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
- 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
- CIBC (New York, NY)
- …or within internal audit a plus + Professional licenses and certifications desired (SIE, FINRA Series 7 , CCOS or IACCP a plus) + Working knowledge of swap dealer ... of integrity and strong work ethic Preferred Qualifications: + 5- 7 years of registered US broker-dealer compliance ...+ 5- 7 years of registered US broker-dealer compliance and risk management experience + Prior experience working… more
- TD Bank (New York, NY)
- …priorities to meet deadlines** + **Experience presenting to management and regulators** + **FINRA series 7 and 24** + **Life and Health Insurance License** + ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- BMO Financial Group (New York, NY)
- …knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Series 7 , 63, 24 a plus. + Typically minimum of 6 years of ... the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on...are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain… 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
- 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
- Bank of America (New York, NY)
- … to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
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