- MUFG (New York, NY)
- …and project deliverables across the organization. **Major Responsibilities:** + Maintain compliance with audit methodology, while also operating within industry best ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Capital One (New York, NY)
- …or a Master's in Finance + Completion of a formal credit development program + FINRA Licenses SIE, 79, 63 **_At this time, Capital One will not sponsor a new ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- SMBC (New York, NY)
- …banking, enterprise valuation, legal, tax, accounting, treasury, capital markets, compliance , credit risk and market risk. **Role Objectives** The Candidate ... 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
- SMBC (White Plains, NY)
- …Identify and escalate breaks as needed + Understand and ensure compliance with relevant regulatory requirements + Proficiency using various industry-standard ... 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
- EPAM Systems (New York, NY)
- …event-driven architectures + SQL databases, real-time data processing + Security, compliance , and auditability within financial systems + Excellent communication and ... workflows + Understanding of regulatory frameworks (eg, NAIC, Solvency II, SEC, FINRA ) + Experience with DevOps tools (Jenkins, GitLab CI, Docker, Kubernetes) +… more
- SMBC (New York, NY)
- …vendors, and functional partners, namely Information Technology, Settlement Operations, Compliance , Legal, etc. Create and maintain metrics for cash management ... 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
- SMBC (New York, NY)
- …teams as needed to negotiate documents and close transactions timely and in compliance with SMFL parameters + Jointly work with the supervisor to provide guidance ... 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
- SMBC (New York, NY)
- …desks and finance to drive team's deliverables and priorities. + Ensure compliance with regulatory requirements and industry best practices related to market risk ... 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
- MUFG (New York, NY)
- …closely with internal stakeholders across various departments, including finance, risk, compliance , and operations, to address and resolve business challenges or ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (New York, NY)
- …the trade + On-board clients in coordination with the firm's credit, legal, compliance , and operations teams **Requirements** : + 3+ years of experience + Bachelor's ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more