- MUFG (New York, NY)
- …experience in structured finance, credit solutions, or a similar role in the financial services industry + Strong critical thinking abilities, attention to ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Citigroup (Getzville, NY)
- …processes, risks and controls and familiarity with financial product and services , as well as brokerage accounting. + Regulatory filing related to ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs ...system and procedural changes, including the introduction of new financial products and transactions. + Develop and maintain effective… more
- Raymond James Financial, Inc. (New York, NY)
- …Degree (BA), preferably in Mathematics, with a minimum of fifteen (15) years of financial services experience required. . OR ~ . Any equivalent combination of ... 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Salary Range** $225,000.00-$250,000.00… more
- Citigroup (New York, NY)
- …degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, ... risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and… more
- Wells Fargo (Albany, NY)
- …+ Ability to manage multiple and competing priorities + 2+ years of financial services industry experience + Experience in compliance or broker-dealer governance ... work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and… more
- New York State Civil Service (Albany, NY)
- NY HELP No Agency Financial Services , Department of Title Virtual Currency Senior Analyst ( Financial Services Specialist 2 (Compliance), SG-23) ... State NY Zip Code 12257 Duties Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient … more
- BMO Financial Group (New York, NY)
- …an oversight of SEC Rule 17a-5. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to ... a comprehensive grasp of the industry. Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance… more
- PNC (New York, NY)
- …**Competencies** Decision Making and Critical Thinking, Financial Analysis, Financial Engineering, Financial Services Industry, Investment Bank ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- PNC (New York, NY)
- …Analysis, Consulting, Data Gathering and Reporting, Predictive Analytics, Quantitative Techniques, Regulatory Environment - Financial Services , Testing ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- Raymond James Financial, Inc. (NY)
- …and a minimum of two (2) years of experience in Supervision and/or the financial services industry. ~or~ * Any equivalent combination of experience, education, ... operations * Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities … more
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