- TD Bank (New York, NY)
- …related to third-party risk management (eg, OSFI, OCC, FFIEC, CFPB, Fed, FINRA ).** + **Experience in compliance risk assessments, due diligence, issue ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- Foresters Financial Services (Westbury, NY)
- …strategy + Time value of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School ... enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow...of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based… more
- Santander US (Staten Island, NY)
- …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Guardian Life (Albany, NY)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
- M&T Bank (Syracuse, NY)
- …and Health Insurance license **Education and Experience Preferred:** Master's degree FINRA regulatory/ compliance experience M&T Bank is committed to fair, ... Monitor and ensure the region completes required regulatory and compliance training. + Network within centers of influence such...minimum of 9 years' experience in a sales environment FINRA Series 7, 63, 24, 65 Licenses New York… more
- JPMorgan Chase (Pittsford, NY)
- …+ Valid and active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, ... Supervisory or Compliance professional, demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and… more
- JPMorgan Chase (New York, NY)
- …capital-driven limit, reporting requirements, and the management of securities-based swaps; ensuring compliance with FINRA rules, related to the supervision and ... with Credit Risk SMEs and partners and ensure thorough assessments and compliance by adhering to policies and procedures including Credit Risk Management, Credit… more
- BlackRock (New York, NY)
- …marketing and communications. The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory ... income. + Develop and apply a robust knowledge of FINRA advertising rules, '40 Act and '33 Act communications...and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker-dealer, mutual fund, or ETF… 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 ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
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