- Wells Fargo (New York, NY)
- …statistic and mathematical modeling + Basic knowledge and understanding of SEC, FINRA and international regulations + Strong knowledge of core computer science ... design concepts, algorithms, and data structures + Experience working on low latency high-throughput transactional systems + Understand principles of Matching Engines **Job Expectations:** + This position is not eligible for Visa sponsorship + Position offers… more
- City of New York (New York, NY)
- …extensively with specialized NYPD Squads, Financial Industry Regulatory Authority (" FINRA "), and major financial institutions. - Proactively generate investigations ... through the use of FinCEN and other similar databases. - Collect, analyze, and organize large amounts of financial documents and other case data for ADAs and other members of law enforcement. - Assist in grand jury and trial preparation, including creation of… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
- MUFG (New York, NY)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- MUFG (New York, NY)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- MUFG (New York, NY)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- Scotiabank (New York, NY)
- …Financial Services Firm, Consulting Firm, or Regulatory agency such as the FRB, FINRA etc. or a similar position in the financial services industry/ regulatory ... background. + Prior consulting experience is a strong plus. + An understanding of financial markets, products and control functions. + Excellent written and oral communication, with strong presentation and interpersonal skills + Attention to detail, strong… more
- JPMorgan Chase (Clifton Park, NY)
- …degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses ... are minimum requirements. All unlicensed applicants must obtain their licenses though JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
- US Bank (New York, NY)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more