- HSBC (New York, NY)
- …banking clients on risks, best practices and required actions pertaining to US financial regulatory actions and Governmental changes. Domestic travel required up ... key stakeholders including Global Banking & Markets, Trade & RF, Treasury Services , Private Banking, and Retail Banking. Contribute to effective utilization of the… more
- ADP (Buffalo, NY)
- …points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 ... ADP is hiring a **Sales Representative for Retirement Services ** . + **_Are you ready to control...** . + **_Are you ready to control your financial future with unlimited upside earnings potential?_** + **_Are… more
- Wells Fargo (New York, NY)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... CB and CIB Market Coverage and Specialized Industry relationship management teams to service new and existing clients, drive growth, and effectively manage risk for… more
- Grant Thornton (New York, NY)
- …them better understand their businesses. Continually inform clients about accounting, financial and regulatory developments that may affect their businesses. ... from start to finish, which includes planning, executing, directing, and completing financial audits and managing to budget. + Supervise, train, and mentor… more
- MUFG (New York, NY)
- …management, expense allocation, and invoices reconciliation. Overseeing Market Data Services : + Updating/maintaining inventory (updating service allocations) + ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- PNC (New York, NY)
- …business and client initiatives * Experience working in banking fintech, or other financial services industry * Experience working with risk and controls, change ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- Grant Thornton (New York, NY)
- …clients about engagement expectations, as well as informing them about accounting, financial and regulatory developments that may affect their organization + ... and risks, and apply that knowledge to enhance the financial statement audit - all with the resources, environment...tools as part of audits or in the professional services environment + Can travel as needed (Travel expectation:… more
- Scotiabank (New York, NY)
- …in Finance or Business related fields + Minimum of 15 years of experience in financial services , with a focus on Global Capital Markets and Corporate Investment ... of Defense, including direct oversight responsibilities. + Deep understanding of non- financial risk, control, and regulatory requirements specific to Capital… more
- TD Bank (New York, NY)
- …Experience in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong ... and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. +… more
- Citigroup (New York, NY)
- …programs. + Comprehensive knowledge and understanding of strategic elements of financial , operational, technical, and regulatory environment across the company. ... client and partner experience to deliver excellence through secure, reliable and controlled services , focused on making Citi a simpler bank that is easier to work… more