- Scotiabank (New York, NY)
- …high performance environment and contributes to an inclusive work environment **What You'll Bring** + Series SIE, 7 , 57, 63 + 10+ years of experience in a ... and objectives. The incumbent will ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. The goal is to… more
- Citigroup (New York, NY)
- …relationships preferred + Must have or be able to obtain required licenses including Series 3, 7 , 55 and 63 **Education:** + Bachelor's degree/University degree ... controls + Work in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order to ensure appropriate… more
- HSBC (Buffalo, NY)
- …Compliance , Credit & Risk and Internal Control to ensure a balanced risk operating environment + Series 7 , 63, 65 or 66 (in lieu of 63 and 65), Life and ... Health insurance licenses requiredIn compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must… more
- Citigroup (New York, NY)
- …and escalating, managing and reporting control issues with transparency. **Qualifications:** + **FINRA Series 7 and 63 licenses are required.** + 10-15 years of ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance to ensure...and safeguarding Citi, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- City of New York (New York, NY)
- …vulnerable population can access shelter, according to eligibility criteria, 24 hours a day, 7 days a week, 365 days a year. The Department of Homeless Services ... ensure adherence to time and leave information. - Foster compliance and ensures staff adherence to City and Agency...staff. - Train and supervise staff. - Implement a series of strategic goals and operational plans that will… more
- Neuberger Berman (New York, NY)
- …Aladdin Wealth, Charles River, client reporting, and portfolio accounting systems is a plus. + Series 7 and 66 licenses are a plus (or willingness to obtain). ... bridging the gap between client-facing teams, technology, operations, legal and compliance . The role requires strong analytical and presentation skills, critical… more
- Research Foundation CUNY (New York, NY)
- …within and across school environments and follows a hybrid work schedule: 70% in-person ( 7 days) and 30% remote (3 days) during each two-week payroll cycle. + A ... math-related resources and develop math-related professional learning workshops and series + Supporting/Liaising with the district regarding school curriculum… more
- Citigroup (New York, NY)
- …to manage and work across a diverse and multi-country matrix structure + Series 7 and 63 licenses preferred **Education:** + Bachelor's degree/University degree ... services and ensure solutions meet or exceed internal risk, return and compliance requirements, ethical standards, and anticipated future changes in the marketplace… more
- HSBC (New York, NY)
- …software and tools. Must have or be able to obtain within 90 days of joining FINRA Series 7 and 63 certifications. **If you would like to apply to this position, ... applied in all actions and across all responsibilities. Ensure compliance with regulatory requirements and internal policies by collaborating...please click the 'Apply' button.** _In compliance with applicable laws, HSBC is committed to employing… more
- Citigroup (New York, NY)
- …+ Demonstrated ability to remain unbiased in a diverse working environment + Series 79, 7 and 63 licenses **Education:** + Bachelor's degree/University degree ... market trends. + Serve as the expert on securitization regulations and compliance requirements, financial and complex strategic issues relating to corporate finance… more