- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- HSBC (Buffalo, NY)
- …field + Good understanding of the US regulatory frameworks and regulatory requirements associated with financial services + Excellent spoken and written ... versatile, inquisitive, and diverse team of global professionals. As our Audit Manager, Regulatory Compliance, Conduct and Legal (RCCL) Audit you will: + Support the… more
- AIG (New York, NY)
- …crime/fidelity and kidnap & ransom insurance; + Research and review of legal/ regulatory issues impacting or potentially impacting Financial Lines products; and ... + Working collaboratively with Regulatory colleagues to address regulatory matters impacting Financial Lines, including the countrywide filing of forms and… more
- City National Bank (New York, NY)
- …* Implement rigorous due diligence processes, including thorough analysis of financial statements, regulatory filings, and corporate disclosures * Integrate ... or REITs/Real Estate). The role requires deep fundamental analysis, sophisticated financial modeling, and expert industry knowledge to generate actionable investment… more
- Cherry Bekaert (Albany, NY)
- …audit, regulatory compliance and risk management services to banks and financial institutions. As the level of regulatory and business complexity continues ... practice, we have an excellent opportunity for a **Senior Associate ( Regulatory Compliance)** to join our team providing internal… more
- PNC (New York, NY)
- …governance, policies, and oversight - Experience supporting or responding to regulatory requests, including familiarity with financial prudential agencies (eg, ... for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain… more
- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- Wells Fargo (New York, NY)
- …exam co-requisite may also be required. + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- American Express (New York, NY)
- …practices throughout the audit lifecycle and special reviews. + Understanding of regulatory , accounting, and financial industry best practices relevant to the ... backgrounds including internal controls, consumer compliance, technology, operational risk, financial accounting, data analytics, and banking operations. Our audit… more