- 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
- Citigroup (New York, NY)
- …experience in Capital financial industry; compliance/supervisory/business risk experience preferred + FINRA Series 7, 66 (63/65), 24 and 31. Series 9/10 also ... preferred + Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy + Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives) + Ability to assess and balance diverse… 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
- Citigroup (New York, NY)
- …accounting, mathematics, statistics, or related field required; Master's Degree preferred + FINRA , SIE, 7, 66, 24 - Additional professional accreditation such as ... Certified Financial Planner (CFP), Chartered Financial Analyst (CFA) a plus + 15+ years of relevant work experience, with demonstrable Wealth Planning leadership, experience in insurance and/or annuity sales management. + Strong knowledge of trust principles,… 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
- 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
- Bloomberg (New York, NY)
- …develop solutions for reporting to various regulations globally like Mifid2, Swiss, FINRA , IIROC and MSRB. Our focus is ensuring correctness, accuracy and timeliness ... while servicing clients' regulatory needs and volume throughput. We also manage ARM (Approved Reporting Mechanism), a regulated entity responsible for Mifid2 EU and UK transaction reporting. + **ARK ->** strengthens system resilience, scalability, and… 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