- 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
- 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
- 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
- Marex (New York, NY)
- …time. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the operational ... risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values + At all times complying with Marex's… 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
- SMBC (White Plains, 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
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC, CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC Rules, ... Trade Reporting, Etc. + Excellent oral and written communication skills. + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. + Ability to project confidence and… more
- City National Bank (New York, NY)
- …using basic software programs like Word, Excel, Power Point, etc. *Skills and Knowledge* * FINRA Series 7 and 66 (or the ability to obtain) * Knowledge of the ... financial services industry and investment management practices * Demonstrated skill set/capabilities in sales, marketing, client experience, business development, analytics, and CRM * Ability to work independently and manage a high volume of leads effectively… more
- Santander US (New York, NY)
- …* Strong verbal and written communication skills, organizational skills and project management skills. FINRA Licenses 7 and 63 required. It Would Be Nice For You To ... Have: Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education. **What Else You Need To Know** **:** The base pay range for this position is posted below and represents the… more