• Senior Payments Operations Group Manager

    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
    PNC (07/19/25)
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  • PF Loan Workout - Director

    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 (07/19/25)
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  • Regulatory Reporting Senior Analyst Assistant Vice…

    Citigroup (Getzville, NY)
    …Audit. Externally, this role regularly interfaces with representatives from the SEC and FINRA 's NY offices via Ongoing Supervision (OGS) and Annual Exams. This role ... is also intensively involved in KPMG's annual 17a-5 audit of 15c3-3 Possession or Control. **Responsibilities:** + Lead teammates and work cohesively with peers across the firm to: design, execute, and monitor efficacy of controls to ensure customer securities… more
    Citigroup (07/19/25)
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  • Corporate Loan Workout - Vice President

    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 (07/19/25)
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  • Risk Identification Associate

    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 (07/19/25)
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  • Key Private Bank Sr Relationship Manager

    KeyBank (Tarrytown, NY)
    …and business development experience with proven results required **Licenses and Certifications** + FINRA Series 7 and 66 (or 63 & 65) (preferred) + Certified ... Financial Planner (CFP) (preferred) + Certified Investment Management Analyst (CIMA) (preferred) + Certified Public Accountant (CPA) (preferred) + Chartered Financial Analyst (CFA) (preferred) + Licensed Attorney/JD (varies by state) (preferred) + Certified… more
    KeyBank (07/18/25)
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  • Fixed Income Middle Office Trade/Sales Support

    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 (07/17/25)
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  • Data Strategic Initiatives, Director

    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 (07/17/25)
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  • Relationship Officer SAFE Act

    Citigroup (New York, NY)
    …under tight deadlines + Excellent verbal and written communication skills + FINRA Series 7 and 66 preferred **Education:** + Bachelor's/University degree or ... equivalent experience **Job Family Group:** Private Client Coverage **Job Family:** Client Onboarding **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $78,320.00 - $109,280.00 In… more
    Citigroup (07/16/25)
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  • Infrastructure Project Finance, Vice President

    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 (07/16/25)
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