- 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
- Truist (New York, NY)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses ( Series 63 & 65 can ... and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include… more
- Citigroup (Getzville, NY)
- …+ Consistently demonstrated clear and concise written and verbal communication + Required Licensing/Registration: Series 7 , Series 9, Series 10, ... operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's… 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 ... parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies...Series 9 and 10 can be used instead of… 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
- Citigroup (Getzville, NY)
- …maintain these standards. **Qualifications:** + 5-8 years of relevant experience + Required 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
- TD Bank (New York, NY)
- …for HNW, MA and/or Institutional clients + Certified Financial Planner (CFP) designation is preferred + Series 7 , Series 63 + 65 or 66 and Series ... maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of...Market share + Leads in a manner that strengthens compliance with all regulations, policies and procedures that apply… more
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and Series 63 ... Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies,...or Business and a minimum of (5) five to ( 7 ) seven years of experience in Quantitative Development &… more
- NBT Bank (Fairport, NY)
- …service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not Series 7 licensed, FC will ... securities and insurance rules and regulations. + Strong communication and PC skills. + Unblemished compliance record. + Demonstrated team player and high quality… more