- 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
- SMBC (New York, NY)
- …reporting to management and have expert knowledge of the regulatory and compliance framework. **Qualifications and Skills** + At least 8 years of derivatives ... 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
- Capital One (New York, NY)
- …working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. + Thought leader in the ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- Santander US (New York, NY)
- …timelines and deliverables are met under deadlines. + Adhere to compliance procedures and internal/operational risk controls in accordance with all applicable ... Ability to thrive in a demanding, fast-paced environment with multiple priorities. **Certifications** FINRA Licenses 79, 7, and 63 preferred **What Else You Need To… more
- SMBC (New York, NY)
- …credit, operational, or event-driven risks as appropriate. . Ensuring compliance with internal policies, external regulations, and industry best practices. ... 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
- PNC (New York, NY)
- …for the new Borrower. Ensures that the initial Borrowing Base is in compliance with credit policy and PNCBC guidelines. Validates / authorizes that the initial ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (New York, NY)
- …to bank product partners; special projects as needed related to billing, compliance , administration; and, other duties as assigned. **_Base pay for this role ... 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