- Wells Fargo (New York, NY)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... Securities Industry Essentials (SIE) exam co-requisite is required + Specific compliance policies may apply regarding outside activities and/or personal investing;… more
- JPMorgan Chase (Pittsford, NY)
- …+ Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members understand their ... 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life,...gender expression, age, marital or veteran status, pregnancy or disability , or any other basis protected under applicable law.… more
- Wells Fargo (New York, NY)
- …completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and ... and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal...benefits + 401(k) Plan + Paid time off + Disability benefits + Life insurance, critical illness insurance, and… more
- Allied Universal (New York, NY)
- …Resources Manager. This position is responsible for employee relations, employment compliance , unemployment claims, and monitoring of employment status for the ... area. With a focus on investigations, manager and supervisor training, and compliance . This position will ensure all recruitment processes, practices, compliance… more
- Corning Incorporated (Oneonta, NY)
- …division, and corporate leadership on key initiatives while ensuring compliance to legal and regulatory guidelines. **Key Responsibilities** **Labor Relations:** ... workforce (<200 employees), including grievance resolution, CBA negotiation, and compliance with labor laws and agreements. **Employee Relations:** Foster a… more
- Wells Fargo (New York, NY)
- …completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and ... and are required to report certain incidents + Specific compliance policies may apply regarding outside activities or personal...benefits + 401(k) Plan + Paid time off + Disability benefits + Life insurance, critical illness insurance, and… more
- Citigroup (New York, NY)
- …responsible for defining and standardizing cloud architecture patterns, ensuring compliance and resiliency, and integrating enterprise-wide architecture with Citi's ... Enterprise Architecture teams to ensure alignment, resiliency, and regulatory compliance . **Architecture Integration** + Integrate public cloud architecture with… more
- Wells Fargo (New York, NY)
- …plans. Maintain all system diagrams, system interface charts and any other compliance policy and procedure documents. Work closely with quality assurance on the ... a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are...benefits + 401(k) Plan + Paid time off + Disability benefits + Life insurance, critical illness insurance, and… more
- Citigroup (New York, NY)
- …programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate ... with internal teams (operations, legal, compliance , finance, sales, marketing) to ensure seamless service delivery...medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid… more
- UGI Corporation (Union Springs, NY)
- …such as parental leave, military leave, vacation/paid time off, sick leave in compliance with state law, as applicable, paid holidays, and disability coverage. ... and performs routine maintenance. Responsible for completing preventative maintenance and compliance related paperwork. **Seeking someone that lives in the Union… more