- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... + Ability to manage relationships both internal and external; Ability to multi-task + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) required to obtain… more
- US Bank (New York, NY)
- …to accurately input monitoring requirements and covenants into a standard compliance monitoring system. + Analyzing financial statement results and preparing reports ... 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… more
- US Bank (New York, NY)
- …preparing and presenting credit requests and sector reviews. + Maintain compliance databases tracking financial reporting requirements, credit agreement terms, and ... 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… more
- US Bank (New York, NY)
- …audit the security architecture within Workday that supports data privacy and compliance requirements. + Utilize data analytics tools and methodologies to develop ... 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… more
- US Bank (New York, NY)
- …the terms of the SAFE Act of 2008 and Regulation Z and ongoing compliance with all legal or regulatory registration requirements, including, but not limited to ... 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… more
- SMBC (New York, NY)
- …RCSAs), as required. + Ensures the business unit is operating in compliance with applicable laws, rules, and regulations, provides oversight of processes designed ... 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.… more
- HSBC (New York, NY)
- …range of products + Ability to manage a portfolio of clients on a global basis + FINRA Series 79, 63 and 7 licenses (or to be obtained) In compliance with ... applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally authorized to work in the US as HSBC will not engage in immigration sponsorship for this position. As an HSBC employee, you will have… more
- PNC (Hilton, NY)
- …solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- JPMorgan Chase (West Harrison, NY)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- US Bank (New York, NY)
- …financial risk disciplines. + Lead regulatory interactions and ensure compliance with financial risk-related requirements. + Drive strategic initiatives, integrate ... 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… more