- 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
- 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
- Scotiabank (New York, NY)
- …ensure risks are correctly captured and adherence to internal policies. FINRA Series SIE certification required. SALARY & WORK SCHEDULE: $225,000-$225,000/year and ... 40 hours/week. QUALIFIED APPLICANTS: Please apply directly through our website https://www.scotiabank.com/careers by searching for Associate Director, US Equity Derivatives & indicate job code JK080725WEB. Location(s): United States : New York : New York City… 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
- PNC (New York, NY)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- Citigroup (New York, NY)
- …**Qualifications:** + Expertise of Compliance laws, rules, regulations, risks and typologies ( FINRA , SEC) + Excellent written, verbal and analytical skills + Must be ... a self-starter, flexible, innovative and adaptive + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging + Ability… 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
- Citigroup (New York, NY)
- …+ Ability to manage relationships both internal and external; Ability to multi-task + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) preferred, or required ... to obtain within 150 days of assuming the role **Education:** + Bachelor's/University degree or equivalent experience **Job Family Group:** Private Client Coverage **Job Family:** Private Banker Support **Time Type:** Full time **Primary Location:** New York… more
- City National Bank (New York, NY)
- …* Excellent verbal and written communications skills * Bachelor's Degree preferred * FINRA Series 7: General Securities Rep preferred * HS Diploma * Bachelor's ... Degree This is the pay range that Magnit reasonably expects to pay for this position: $58.20/hour - $62.39/hour Benefits: Medical, Dental, Vision, 401K *QUALIFICATION/LICENSURE* *Work Authorization :* Green Card, US Citizen, Other valid work visa *Preferred… more
- JPMorgan Chase (New York, NY)
- …to utilize Bloomberg + Skilled at MS Office Suite (Word and PowerPoint) + FINRA Series 7 and Series 63 JPMorganChase, one of the oldest financial institutions, ... offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase brands. Our history spans over 200 years and today we are a… more