- JPMorgan Chase (Stony Point, NY)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- US Bank (New York, NY)
- …of risk mitigation -Partner with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function, ... management framework. -Participate in projects and/or activities that ensure compliance with applicable federal, state and local laws and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- JPMorgan Chase (Monroe, NY)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- JPMorgan Chase (Pittsford, NY)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- MUFG (New York, NY)
- …validation activities (may occur outside of business hours). + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- SMBC (New York, NY)
- …issues to the right stakeholders at the right time. + Partner with Compliance , Risk, Audit, and Technology teams to ensure program objectives align with regulatory ... regulatory and industry standards such as BCBS 239, GDPR, or OCC/SEC data compliance expectations. + Prior experience implementing data tools or platforms is a plus.… more
- SMBC (New York, NY)
- …firm. This includes enterprise-wide initiatives in data governance, data management, and regulatory compliance , with a focus on key areas such as BCBS 239, Risk, ... Compliance , RWA, and Liquidity reporting. We are seeking an...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- Nuveen Investments (New York, NY)
- …such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners ... internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to...**Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63… more
- MUFG (New York, NY)
- …roadmap to ensure measurable growth and development are achieved. + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- JPMorgan Chase (Clifton Park, NY)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more