- MUFG (New York, NY)
- …and regulatory requirements including but not limited to: Federal Financial Institutions Examinations Council (FFIEC), Office of the Comptroller of the Currency ... (OCC), Financial Industry Regulatory Authority (FINRA), Federal Reserve, and the Sound Practices to Operational Resilience + Knowledge of technology… more
- PNC (New York, NY)
- …activities, and respond to audits for SOX processes **Job Description** + Provides financial and regulatory reporting and analyses to maintain adequate controls ... over the financial and regulatory reporting processes. Responsible for running complex business performance, risk and operational analytics. May include the… 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
- Raymond James Financial, Inc. (New York, NY)
- …compliance. + Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory ... objectives and develops processes and procedures to ensure adherence to all regulatory requirements. + Monitors reporting. + Partners with business units to… more
- M&T Bank (Buffalo, NY)
- …or Credit Administration/Risk Management + Strong knowledge of CECL accounting or Financial / Regulatory Reporting is a plus + Effective negotiation skills, a ... in the planning and execution of validation procedures for Internal Audit and Regulatory issues that require subject matter expertise. + Organize and complete work… 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)
- …relationships with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... to the candidate upon offer acceptance + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for… 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
- 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
- Raymond James Financial, Inc. (New York, NY)
- …compliance. + Rules and regulations of: Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities and banking ... operations. + Financial markets and products. **Skill in:** + Administering regulatory notifications and filings. + Planning and scheduling work to meet … more