- Scotiabank (New York, NY)
- …platform, and enhance banking skillset + Obtain and maintain required FINRA registration and licensing appropriate to your functions and responsibilities ... **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That's why we work to grow and diversify talent and engage employees in a performance-oriented culture.… more
- OTC Markets Group Inc (New York, NY)
- …NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal law: ... Equal Employment Opportunity is the Law (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) Polygraph Protection Act FMLA (https://www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf) Powered by JazzHR more
- Mizuho Corporate Bank (New York, NY)
- …technology. Deep understanding of financial regulations and industry standards (SEC, FINRA , GDPR, etc.) Key Outcomes: + Improved compliance monitoring and ... surveillance capabilities. + Streamlined compliance processes and reduced manual intervention. + Successful support of compliance technology projects within budget and timeline. The expected base salary ranges from $111,000-$165,000. Salary offers are based on… 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
- PNC (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
- 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
- JPMorgan Chase (New York, NY)
- …and creative; uses sound judgment and navigates ambiguity to get things done + FINRA Series 79, 63 and Securities Exam Essentials licenses required or must obtain ... within 180 days of hire **Preferred Qualifications, Capabilities and Skills** + Bachelor's degree and formal credit training preferred + Experience working with Capital Markets and Investment Banking products/services JPMorganChase, one of the oldest financial… 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
- JPMorgan Chase (New York, NY)
- …+ 5+ years of experience in the equity plan or workplace industry. + FINRA Securities Industry Essentials, Series 7, and Series 63 licenses required for the ... position; candidates without licenses must obtain them within 90 days of start date. + Proven ability to operate effectively in a matrix organization, managing tight deadlines and multiple stakeholders. + Exceptional public speaking skills. + Strong… more
- Citigroup (Queens, NY)
- …non-life, annuities) + Deep understanding of US regulations including SRO/ FINRA requirements, Investment Advisors Act, Regulation Best Interest, Reg 9/ Fiduciary ... requirements, Federal and state insurance regulations, with expertise in key Wealth Markets (Hong Kong, Singapore, Switzerland, UAE). + Proven ability to demonstrate a growth mindset and achieve results in challenging situations. + Track record of operating… more