- Guardian Life (New York, NY)
- …+ Minimum 3-5 years' recent experience in financial services fraud investigations + Series 7 and CAMS and/or CFE designation strongly preferred (or willingness ... 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
- Wells Fargo (New York, NY)
- …Bachelor's degree in Finance, Economics, or a related field; MBA or advanced degree preferred. + Series 7 , 57, 63, 24 and 4 + Candidates must be an energetic ... trading architecture, programs and trading policies for clients, advisors, and compliance + Identify opportunities and strategies to develop trading programs and… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor rules and ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
- City of New York (New York, NY)
- …Health Academy. They supervise instructors and educate the public through a series of engaging courses focused on food service establishments. DUTIES WILL INCLUDE ... for online courses and external approved providers and ensure compliance with training standards. Maintain permanent records of classes...a public health sanitarian as described in "1" above. 7 . In order to be eligible for promotion to… more
- Wells Fargo (New York, NY)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In… more
- JPMorgan Chase (Pittsford, NY)
- …and investment industry, demonstrating a strong understanding of industry practices. + Valid and active Series 7 , 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA ... and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team...licenses, ensuring compliance with industry standards. + Valid and active Life,… more
- TD Bank (New York, NY)
- …& Experience:** + Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics + Series 7 and 63 + 5- 7 Years of related experience ... with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and...automated (Algo) trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct… more
- Capital One (New York, NY)
- …+ Strong quantitative background to support data-informed decision making. + Designations including Series 7 / 63 License or Chartered Financial Analyst (CFA) ... + At least 9 years of experience working in Product Management + At least 7 years of experience in securities origination or trading management in Capital Markets +… more
- IKO (Cedarhurst, NY)
- …Department: Maintenance / Engineering Reports To: Electrical Supervisor Shift: Day Shift 7 -3:30PM (30 Min Lunch) Employment Type: Full-Time Position Summary: We are ... plant. The ideal candidate will have hands-on experience with Siemens PCS 7 DCS, TIA Portal, and Siemens G120/S120 drives, ensuring optimal operation of… more
- BMO Financial Group (New York, NY)
- …understanding of trading procedures and broader regulatory and financial concepts. + Series 7 , 63 licenses required. + Strong quantitative analysis, technology ... complexity of transactions and related risk (credit, market, operational, legal / compliance , etc.). + Helps colleagues with the presentation of information and… more